Traduction de «évaluation des risques-clients » (Français → Anglais) :

assessment of performance indicators that can be used to monitor the effectiveness of processes within the quality system, such as complaints, deviations, CAPA, changes to processes; feedback on outsourced activities; self-assessment processes including risk assessments and audits; and external assessments such as inspections, findings and customer audits.

15. Supports increased transparency of decision-making on investments of European public money, namely in projects of the EIB and the EBRD which may have an adverse impact on human rights; urges the EIB and the EBRD to strengthen their anti-fraud and anti-corruption policies in order to ensure full transparency of investments outside of the European Union; stresses the need for the EIB and the EBRD to affirm their willingness to avoid risky investments, especially through financial intermediaries, and to adopt a risk-based approach and improved assessments of the human rights impact of the projects they support, in addition to conducting sound human rights and integrity due diligence of all of their clients’ operations; takes the view th ...[+++]at particular attention should be paid to ensuring public participation, as well as free prior and informed consultation of communities affected, at all stages of the planning, implementation, monitoring and evaluation of projects financed; urges the Member States and the Commission to use their influence as exclusive members of the EIB, and as major shareholders of the EBRD, to foster significant reform of these institutions to allow greater democratic scrutiny of their decisions and accountability;

33. Recognises the benefits which Exchange Traded Funds (ETFs) provide by giving retail investors access to a wider range of assets (such as commodities, in particular), but stresses the risks ETF carry in terms of complexity, counterparty risk, liquidity of products and possible regulatory arbitrage; warns of the risks associated with synthetic ETFs owing to their increasing opacity and complexity, in particular when synthetic ETFs are marketed to retail investors; invites the Commission, therefore, to assess and tackle these potential structural vulnerabilities in the ongoing UCITS VI review, taking into account different customer ca ...[+++]tegories (e.g. retail investors, professional investors, institutional investors) and their different risk profiles;

33. Recognises the benefits which Exchange Traded Funds (ETFs) provide by giving retail investors access to a wider range of assets (such as commodities, in particular), but stresses the risks ETF carry in terms of complexity, counterparty risk, liquidity of products and possible regulatory arbitrage; warns of the risks associated with synthetic ETFs owing to their increasing opacity and complexity, in particular when synthetic ETFs are marketed to retail investors; invites the Commission, therefore, to assess and tackle these potential structural vulnerabilities in the ongoing UCITS VI review, taking into account different customer ca ...[+++]tegories (e.g. retail investors, professional investors, institutional investors) and their different risk profiles;

Professional client is a client who possesses the experience, knowledge and expertise to make its own investment decisions and properly assess the risks that it incurs.

6. Investment firms shall be authorised to continue considering existing professional clients as such provided that this categorisation has been granted by the investment firm on the basis of an adequate assessment of the expertise, experience and knowledge of the client which gives reasonable assurance, in light of the nature of the transactions or services envisaged, that the client is capable of making his own investment decisions and understands the risks involved.