The requirement for investment services companies to act responsibly in the selection and distribution of new products. This includes the determination of the customer group, complaint management, stress tests, cost transparency and the monitoring of distribution. In addition, securities service providers should also be held accountable if a security turns out to be higher risk than originally anticipated. – See Investor protection, Record-keeping obligation, Suitability, Suitability and appropriateness test Straightjacking, Over-regulation, Securities services conduct and organization regulation,. – Cf. BaFin Annual Report 2013, p. 165 (status of supranational consultations on product oversight and governance for securities service providers).
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University Professor Dr. Gerhard Merk, Dipl.rer.pol., Dipl.rer.oec.
Professor Dr. Eckehard Krah, Dipl.rer.pol.
E-mail address: info@ekrah.com
https://de.wikipedia.org/wiki/Gerhard_Ernst_Merk
https://www.jung-stilling-gesellschaft.de/merk/
https://www.gerhardmerk.de/