Rules Regarding Relations Between Intermediaries and Customers

Diego Rossano

Chapter 6 in Italian Banking and Financial Law, 2015, pp 97-120 from Palgrave Macmillan

Abstract: Abstract The rules that regulate the relationship between intermediaries and customers are based on transparency and proper conduct. A system based on these, aims mainly at protecting the interest of the customer but also, more generally, the stability of the market. It goes without saying, in fact, that the establishment of a relationship of trust between the contracting parties involved favours the adoption of cautious investment choices and, in this way, helps to ensure stability of economic transactions.1

Keywords: Portfolio Management; Investment Firm; Mandatory Disclosure; Convertible Bond; Disciplinary System (search for similar items in EconPapers)
Date: 2015
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Persistent link: https://EconPapers.repec.org/RePEc:pal:pmschp:978-1-137-50759-4_6

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DOI: 10.1057/9781137507594_6

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