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III - Providers
III. 1 - Investment services providers
III. 1.3. Rules of conduct
  • Applicable from 1 January 2023
  • Position - Recommendation DOC-2007-25

Q&A on the rules of conduct applicable to investment services providers



The purpose of this Position-Recommendation  is to answer questions that market professionals may have about the rules of conduct applicable to ISPs. It provides clarification on four topics: client categorisation, information provided to clients, agreements to be entered into, and suitability assessment.

Reference texts

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