风险管理与合规课件.pptVIP

* * 1. Clients can be classified as: - retail, professional or even eligible counterparties Whereby the level of protection requirements depend on the understanding by the client of the: - relationship between risk and reward and - knowledge of financial instruments available in the market As the level of understanding increases, the level of protection reduces. 2. Classification for existing clients is being managed centrallyProcedures for classifying new clients, post MiFiD will be deployed In case of opting up: Written request from client ABN gives clear written warning of protections