Article 19(2) of the L1 Directive states that all information, including marketing communications, addressed by the firm to clients or potential clients shall be fair, clear and not misleading. Furthermore marketing communications shall be clearly identifiable as such.
What is a FINRA questionnaire?
A questionnaire distributed by underwriters counsel to the companys directors, officers and security holders in connection with a public offering in order to gather and confirm information that must be provided to FINRA.
What is MiFID in simple terms?
The goal of the Markets in Financial Instruments Directive (MiFID) is to increase transparency across EU financial markets and to standardize regulatory disclosures for firms.
What is the potential buyer questionnaire?
A homebuyer questionnaire is a list of questions provided by a real estate agent to help them get a better idea of what youre looking for in a home and how they can best help you. Along with your basic information, the questionnaire typically asks questions about the specific things you want and need in a home.
What is a supplier questionnaire?
The Supplier Questionnaire is a required part of the supplier registration process and includes questions for tax and business classification purposes. This page provides general guidance on completing the Supplier Questionnaire.
THE MiFID QUESTIONNAIRE. Information collected via the MiFID questionnaire relates to the following points: Your knowledge and experience of financial instruments; Your financial situation and your ability to bear losses; Your investment objectives, including your investment horizon and risk tolerance.
What is the MiFID compliance?
MiFID compliance requires firms to capture all communications surrounding transactions, including email, telephone calls, social media and in-person meetings.
What are the three categories of MiFID?
There are three client categories under MiFID and the directive attaches different levels of protection to clients within each category. Professional Clients. Eligible Counterparties. Retail Clients. What do I do if I wish to be assigned a different category?
Related links
Purchasing on the Internet Questionnaire
The next series of questions relate to your attitudes about interacting with the Internet retailer you recently purchased from, as well as its customers.
This site uses cookies to enhance site navigation and personalize your experience.
By using this site you agree to our use of cookies as described in our Privacy Notice.
You can modify your selections by visiting our Cookie and Advertising Notice.... Read more...Read less
