Template:Mifid categorisation: Difference between revisions
Jump to navigation
Jump to search
Amwelladmin (talk | contribs) No edit summary |
Amwelladmin (talk | contribs) No edit summary |
||
| Line 1: | Line 1: | ||
<small> | <small> | ||
==== | ===={{tag|MiFID}} Categorisation==== | ||
'''{{cobsprov| | *'''{{cobsprov|Professional client}}s''': {{cobsprov|per se professional client}} | {{cobsprov|elective professional client}} <br /> | ||
'''{{cobsprov|ECP}}s''': {{cobsprov|per se eligible counterparty}} | {{cobsprov|elective eligible counterparty}} | COBS {{cobsprov|1 Annex 1}} for disapplication of COBS rules to {{cobsprov|ECP}}s <br /> | *'''{{cobsprov|ECP}}s''': {{cobsprov|per se eligible counterparty}} | {{cobsprov|elective eligible counterparty}} | COBS {{cobsprov|1 Annex 1}} for disapplication of COBS rules to {{cobsprov|ECP}}s <br /> | ||
'''{{cobsprov|Retail client}}''': See COBS {{cobsprov|3.4}}: one who is not a {{cobsprov|professional client}} or an {{cobsprov|ECP}} <br> | *'''{{cobsprov|Retail client}}''': See COBS {{cobsprov|3.4}}: one who is not a {{cobsprov|professional client}} or an {{cobsprov|ECP}} <br> | ||
'''[[media:Decision Tree - Categorisation.pdf|Categorisation decision tree (pdf)]]''' | *'''[[media:Decision Tree - Categorisation.pdf|Categorisation decision tree (pdf)]]''' <br /> | ||
</small> | |||
Revision as of 12:28, 13 January 2016
====MiFID Categorisation====
- Professional clients: per se professional client | elective professional client
- ECPs: per se eligible counterparty | elective eligible counterparty | COBS 1 Annex 1 for disapplication of COBS rules to ECPs
- Retail client: See COBS 3.4: one who is not a professional client or an ECP
- Categorisation decision tree (pdf)