INVESTMENT SERVICES AND ACTIVITIES AGREEMENT ON CAPITAL MARKET
Journal Title: Challenges of the knowledge society ( Provocari ale societatii cunoasterii ) - Year 2019, Vol 11, Issue 13
Abstract
Investment services and activities on the account of the investors shall be supplied under a contract drafted in accordance with Capital Market Laws. Intermediaries (investment firms) hold the market access monopoly to trading systems of the regulated market or multilateral trading systems. Contracting them is the only way for investors to have access (indirectly) to trading through market orders. The legal framework shaped by the contract regarding investment services and activities is the premise, the mandatory and preliminary condition for the sale or purchase of financial instruments. The contract of investment services and activities is thus a sine quanon for trading on the capital market.
Authors and Affiliations
Cristian GHEORGHE
Keywords
Related Articles
- EP ID EP588310
- DOI -
- Views 103
- Downloads 0
THE IMPORTANCE OF PERFORMANCE INDICATORS IN ANALYZING BUSINESS ENVIRONMENT AND BUSINESS EVOLUTION
The analysis of economic environment brings into attention of the ones interest important trends and important evolutions that can bring into surface new strategies and new ways of obtaining profit. This is to say that s...
COOPERATION AND VERIFICATION MECHANISM(CVM) REPORT 2018 AND THE CHALLENGES OF THE JUDICIAL SYSTEM
Although it is an increasingly popular theme in the romanian public space, justice, as a power in a state, faces European challenges and internal challenges. Current legislative changes impact or halt the progress made d...
REFORM OF RULES ON EU VAT
In January 2018 the EU has released two proposal designed to simplify the VAT system, specifically around reduced rates, and to reduce compliance costs of smaller businesses in respect of VAT. The EU's common rules on V...
ON THE LIMITS AND CONSEQUENCES OF THE CASE SPLITTING IN THE ROMANIAN CRIMINAL PROCEDURE SYSTEM
In the Romanian criminal justice system, the framework or procedural context in which one of the two main judicial functions is exercised - dealing with essential elements of the conflict report - is not fixed but flexib...
THE REASON AND FIELD OF APPLICATION REGARDING ART. 118 PARA. (3) OF EMERGENCY ORDINANCE NO. 195/2002
This article aims to establish the correct interpretation of the obligation to send to the police unit that detected the contravention a copy of the complaint in relation to the performing of appropriate entries in the d...