4 Amendments of Peter SIMON related to 2011/0298(COD)
Amendment 402 #
Proposal for a directive
Article 2 – paragraph 1 – point i – indent 1
Article 2 – paragraph 1 – point i – indent 1
– deal on own account in financial instruments, excluding persons who deal on own account by executing client orders, or
Amendment 411 #
Proposal for a directive
Article 2 – paragraph 1 – point i – subparagraph 2
Article 2 – paragraph 1 – point i – subparagraph 2
provided that in all cases this is an ancillary activity to their main business, when considered on a consolidated or non- consolidated group basis, and that main business is not the provision of investment services within the meaning of this Directive or banking services under Directive 2006/48/EC;
Amendment 735 #
Proposal for a directive
Article 24 – paragraph 5 – point i
Article 24 – paragraph 5 – point i
(i) shall assess a sufficiently large number of financial instruments available on the marketcomprehensively assess the relevant market and provide clients with advice which is unbiased and unrestricted. The financial instruments should be diversified with regard to their type and issuers or product providers and should not be limited to financial instruments issued or provided by entities having close links with the investment firm,
Amendment 747 #
Proposal for a directive
Article 24 – paragraph 5 – point ii
Article 24 – paragraph 5 – point ii
(ii) shall not accept or receive fees, commissions or, any monetary benefits or benefits in kind or other inducements paid or provided by any third party or a person acting on behalf of a third party, or a person having close links with the investment firm, in relation to the provision of the service to clients.