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Article 34 – Conflicts of interest policy ⬅️ | ➡️ Article 36 – Investment research and marketing communications
Références LVL1 <=> LVL2
Level 1 reference(s): 2014L0065_EN.16 > 6
Article 35 - Record of services or activities giving rise to detrimental conflict of interest
Investment firms shall keep and regularly update a record of the kinds of investment or ancillary service or investment activity carried out by or on behalf of the firm in which a conflict of interest entailing a risk of damage to the interests of one or more clients has arisen or, in the case of an ongoing service or activity, may arise.
Senior management shall receive on a frequent basis, and at least annually, written reports on situations referred to in this Article.