Traduction de «client particulier » (Français → Anglais) :

Generally directed at the client, such a recommendation may not constitute advice, as it must correspond to the needs of a specific client or be based on the specific situation of the client.

Generally directed at the client, such a recommendation may not constitute advice, as it must correspond to the needs of a specific client or be based on the specific situation of the client.

conduct of business requirements for firms, e.g. their obligation to divide their clients into different categories ("eligible counterparties", "professional" and "retail"), their obligations towards each category of client, their obligation to assess whether the products and services which they provide are "suitable" or "appropriate" for their client and their obligation to secure "best execution" for their clients (i.e. the best possible result with the emphasis on best price for retail investors). organisational requirements for firms and markets, e.g. compliance, risk management and internal audit functions that operate independently ...[+++], identification and management of conflicts of interest and limitations on out-sourcing, especially to third countries; transaction reporting to relevant competent authorities of buy and sell transactions in all financial instruments; transparency requirements for the trading of shares (i.e. pre- and post trade transparency for regulated markets, MTFs and 'systematic internalisers') to ensure a level playing field between exchanges, MTFs and systematic internalisers for the trading of the most liquid shares in Europe.

User fees can be a responsible method of cost recovery for government services directed at specific clients and client groups; however, demands for fees can be and are sometimes abusive when there are weak controls.

(ii) ensure, where appropriate, that additional host country requirements only apply to financial services offered to retail customers and not to professionals; this implies the pursuit of a policy distinguishing between retail consumers and those operators acting in their professional capacity;

The key point is that in assessing the public interest impact of a bank merger, it is imperative that consideration be given to business clients as well as the retail customers.