Betekenis van:
investment firm

Voorbeeldzinnen

1. The investment firm tricked customers into buying worthless stock.
2. the name of the investment firm;
3. investment firm, dealer, broker, adviser or manager,
4. the investment firm that buys the share concerned.
5. the investment firm that sells the share concerned;
6. Capacity of the firm before investment (in units per year):
7. the investment firm does not substantially alter the recommendations within the investment research;
8. the investment firm does not present the investment research as having been produced by it;
9. investment firm, dealer, broker, adviser or manager, life assurance and collective investment scheme intermediary,
10. the transaction is between an investment firm dealing on own account and a client of that firm;
11. If an investment firm transmits an order to another person for execution, the investment firm shall immediately record the following details after making the transmission:
12. For the purposes of applying supervision on a consolidated basis, the term ‘investment firm’ shall include third-country investment firms.
13. Conflicts of interest should be regulated only where an investment service or ancillary service is provided by an investment firm.
14. the person that produces the investment research is not a member of the group to which the investment firm belongs;
15. ‘relevant person’ in relation to an investment firm, means any of the following: