Excursus: Individual Guidelines for Investment Services Companies (2023)
About the Lecture
The lecture Excursus: Individual Guidelines for Investment Services Companies (2023) by Lecturio Online Courses is from the course Responsibility and Liability (2023).
Included Quiz Questions
In which cases must you observe the individual guidelines for investment service providers? (Multiple answers are possible)
- If your firm offers investment services as its core business
- If your firm provides investment services as part of other services.
- If your company belongs to the stock exchange.
- If your company enters into derivatives.
- If you work in the finance department of your company.
You work for an investment services provider. What gifts are you allowed to accept? (Multiple answers are possible. )
- No gift
- A meal voucher worth less than 35 EUR
- Market research data about the image of your company
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Author of lecture Excursus: Individual Guidelines for Investment Services Companies (2023)
Lecturio Online Courses
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