Gestion des services financiers et classification

Revision sheet excerpt

📋 Plan du Cours

  1. Servizi di investimento in diritto italiano
  2. Autorizzazione e revoca SIM
  3. Classificazione clienti e classificazione potenziali
  4. Gestione portafogli e portabilità
  5. Informazioni e trasparenza regolamentare
  6. Conflitti di interesse e gestione
  7. Strumenti finanziari complessi e non
  8. Norme di condotta e requisiti professionali
  9. Operatività transfrontaliera e succursali UE
  10. Risarcimento danni e tutela investitori
  11. Misure di crisi e provvedimenti d'urgenza
  12. Sistema di risoluzione controversie e ADR

📖 1. Servizi di investimento in diritto italiano

🔑 Notions clés & Définitions

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Quiz preview

1. Qu'est-ce qu'un 'servizio di investimento' selon le droit italien?

2. Selon la réglementation italienne, quel texte législatif constitue le cadre principal pour la gestion des services financiers ?

3. Selon la réglementation italienne, quelle est la condition nécessaire pour la révocation de l'autorisation d'une SIM ?

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Flashcards preview

Services d'investissement — définition ?

Prestations offertes pour aider à investir, comme gestion ou conseil.

Servizi di investimento — définition?

Prestations offerte par intermédiaires financiers pour investissement.

Autorisation SIM — rôle ?

Permet à une société d'exercer légalement ses activités d'intermédiation.

Autorizzazione SIM — ruolo?

Permettre l'esercizio delle attività di investimento.

Classification client — critères clés ?

Expérience, patrimoine, connaissance des produits financiers.

Classificazione clienti — tipi?

Détail, professionnel, contrepartie qualifiée.

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