Rules of conduct: what is it – Dictionary of Economics

These are the standards of action to which those involved in the securities markets must comply, in order to ensure market transparency and investor protection. The basic legislation on rules of conduct is contained in RD 629/1993. Among others, it establishes specific provisions on the conditions that must be met by securities orders, the keeping of transaction records and order receipt files by intermediaries, and the documents that serve as support for relationships between clients and entities. This topic is developed in more detail in the section on Rules of Conduct.

Origin: CNMV

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