Which document must be periodically provided to the client according to the rules of good conduct?
The initial contract
Periodic statements of services and costs
The annual fee brochure
The updated prospectus
Which document must be mandatorily provided to the client during the pre-contractual information stage?
The service contract
The Key Information Document (KID)
The promotional brochure
The bank statement
What must a professional do if the information about the client is insufficient to apply the suitability test?
Recommend the least risky product
Refrain from recommending
Ask the client to sign a waiver
Use assumed information
The suitability test is required only for portfolio management services.
True
False
The best execution policy must be documented and continuously observed.
True
False
Categorize items by dragging them to the appropriate zones
Items to categorize:
Suitability test (Article L.533-13 I)
Prevention of conflicts of interest
Documentation of client information
Duty of confidentiality
Categories:
Regulatory obligations
Ethical obligations
Retail client
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According to Article L.533-16 of the Code monétaire et financier, what is the first criterion to consider when categorising a client in a professional setting?