An investment firm shall qualify and notify its clients as eligible counterparties, professional investors or non-professional investors.
The investment firm shall inform its clients in a durable medium that they may request a different qualification and inform them of the resulting lower or higher level of protection.
Regulations based on this article (delegated regulations)
No
Policies and circulars that have this article as legal authority
No
Articles or similar text referring to this article
(01-05-2021)
|
Effective date |
Retroactivity |
Subject |
Signature |
Announcement |
Chamber documents |
Signature |
Announcement |
Note |
|
new |
2007 |
2007 |
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