A manager of an investment institution or investment firm shall establish rules of conduct and procedures regarding whether or not its clients qualify as professional investors.
If a manager of an investment institution or investment firm finds that a non-professional investor structurally no longer satisfies the conditions for eligibility as a professional investor, it shall designate him as a non-professional investor and notify him accordingly
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
Financial Supervision Act
annex: to article 1:79 Financial Supervision Act
article: 1:19, 4:2e
(01-05-2021)
|
Effective date |
Retroactivity |
Subject |
Signature |
Announcement |
Chamber documents |
Signature |
Announcement |
Note |
|
modification |
2013 |
2013 |
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|
new |
2007 |
2007 |
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