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Obligation to make unexecuted client limit orders public - COBS Provision: Difference between revisions
Obligation to make unexecuted client limit orders public - COBS Provision (view source)
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{{ | {{cobsprov|11.4.1}} | ||
==Scope=== | |||
==== | Yes, it is just shares traded on a regulated exchange or trading venue. Not all financial instruments. | ||
===And “express” instruction means what exactly?=== | |||
Question before the house is what form this "express instruction" needs to take. Can it be deemed, or embedded in unilaterally imposed terms of business prepared by a firm and accepted by conduct by a client placing an order? | Question before the house is what form this "express instruction" needs to take. Can it be deemed, or embedded in unilaterally imposed terms of business prepared by a firm and accepted by conduct by a client placing an order? | ||
Compare COBS {{cobsprov|11.2.26}}, wherein a client's '''prior ''express'' consent''' is considered by one and all to involve actual acknowledgment, and contrast with COBS {{cobsprov|11.2.25}} where a client's '''prior consent''' is not... | Compare COBS {{cobsprov|11.2.26}}, wherein a client's '''prior ''express'' consent''' is considered by one and all to involve actual acknowledgment, and contrast with COBS {{cobsprov|11.2.25}} where a client's '''prior consent''' is not... | ||
{{seealso}} | |||
*[[Prior consent]] | |||
*[[Prior express consent]] | |||
*[[Express prior consent]] | |||
{{cobsanatomy}} | {{cobsanatomy}} | ||