MiFIR post-trade transparency: three checks for a Luxembourg bank
MiFIR post-trade transparency: check deferral eligibility, publication responsibility and the applicable CSSF notification formalities.
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Suitability of Investment Advice in Luxembourg Private Banking: Information to Collect Before Advising a Client
Investment advice suitability Luxembourg requires firms to collect, analyse and document client information before advising under Article 37-3(4) LFS and Article 54 of the Delegated Regulation.
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MiFID II Compliance | Compliance | Luxembourg Financial Law | Private Banking & Wealth Management | Regulatory
L’adéquation du conseil en banque privée luxembourgeoise : les informations à recueillir avant de conseiller un client
Le conseil en investissement repose sur des fondements légaux. L’article 37-3(4) de la loi du 5 avril 1993 relative au secteur financier, telle que modifiée (la « LSF »), fixe la première règle. Avant tout conseil en investissement ou toute gestion de portefeuille, l’établissement doit obtenir les informations nécessaires sur le client. S’il n’obtient pas…
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MiFID II Inducement Conditions in Luxembourg Private Banking: The Article 37-3(3d) LFS Test
MiFID II inducement conditions Luxembourg: Article 37-3(3d) LFS sets the service-quality, client-interest and prior disclosure test.
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Conditions des incitations MiFID II en banque privée luxembourgeoise : le test de l’article 37-3(3quinquies) LFS
Conditions incitations MiFID II Luxembourg : l’article 37-3(3quinquies) de la LSF impose qualité du service, intérêt du client et information préalable.
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Trailer Fees & MiFID II: The Luxembourg Private Banking Rules
Article 37-3(3d) of the Luxembourg law of 5 April 1993 on the financial sector, as amended (the “LFS”), governs trailer fees in Luxembourg private banking. In this context, a trailer fee falls within the MiFID II inducements framework. It may consist of a fee, commission or other monetary or non-monetary benefit paid or provided by…
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Rétrocessions en banque privée au Luxembourg : trois contrôles MiFID II
Rétrocessions banque privée Luxembourg : trois contrôles MiFID II sur l’admissibilité, la divulgation préalable et le reporting annuel.
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MiFID II: Portfolio Management and Investment Advice in Private Banking
MiFID II Luxembourg portfolio management and investment advice matter in private banking and fund manager top-ups. Classify, verify, document.
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Conformité MiFID II : Standards des Brochures en Banque Privée
revue MiFID II des brochures : l’article 37-3(2) de la LSF impose des communications de banque privée correctes, claires et non trompeuses.
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Private Banking Brochures: The Article 37-3(2) LFS Review Standard
MiFID II brochure review: Article 37-3(2) of the 1993 Law requires private-banking brochures to be fair, clear and not misleading.