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(Article 4(1)(17) of Directive 2014/65/EU). When the range of financial instruments assessed by the investment firm providing investment advice on an independent basis includes the investment firm's own financial instruments or those issued or provided by entities having close links or any other close legal or economic relationship with the investment firm as well as other issuers or providers which are not linked or related, the investment firm shall distinguish, for each type of financial instrument, the range of the financial instruments issued or provided by entities not having any links with the investment firm. 2. For the purposes of point (k), where the order is executed in tranches, the investment firm may supply the client with information about the price of each tranche or the average price. A balance between fixed and variable components of remuneration shall be maintained at all times, so that the remuneration structure does not favour the interests of the investment firm or its relevant persons against the interests of any client.


The information regarding the financial situation of the client or potential client shall include, where relevant, information on the source and extent of his regular income, his assets, including liquid assets, investments and real property, and his regular financial commitments. Provision of services in non-complex instruments. Investment firms shall provide clients or potential clients with the following general information, where relevant: the name and address of the investment firm, and the contact details necessary to enable clients to communicate effectively with the firm; the languages in which the client may communicate with the investment firm, and receive documents and other information from the firm; the methods of communication to be used between the investment firm and the client including, where relevant, those for the sending and reception of orders; a statement of the fact that the investment firm is authorised and the name and contact address of the competent authority that has authorised it; where the investment firm is acting through a tied agent, a statement of this fact specifying the Member State in which that agent is registered; the nature, frequency and timing of the reports on the performance of the service to be provided by the investment firm to the client in accordance with Article 25(6) of Directive 2014/65/EU; where the investment firm holds client financial instruments or client funds, a summary description of the steps which it takes to ensure their protection, including summary details of any relevant investor compensation or deposit guarantee scheme which applies to the firm by virtue of its activities in a Member State; a description, which may be provided in summary form, of the conflicts of interest policy maintained by the firm in accordance with Article 34; at the request of the client, further details of that conflicts of interest policy in a durable medium or by means of a website (where that does not constitute a durable medium) provided that the conditions set out Article 3(2) are satisfied.

When executing orders or taking decision to deal in OTC products including bespoke products, the investment firm shall check the fairness of the price proposed to the client, by gathering market data used in the estimation of the price of such product and, where possible, by comparing with similar or comparable products. Circumstances where a conduct indicating behaviour that is prohibited under Regulation (EU) No 596/2014 may be assumed. The description of risks referred to in paragraph 1 shall include, where relevant to the specific type of instrument concerned and the status and level of knowledge of the client, the following elements: the risks associated with that type of financial instrument including an explanation of leverage and its effects and the risk of losing the entire investment including the risks associated with insolvency of the issuer or related events, such as bail in; the volatility of the price of such instruments and any limitations on the available market for such instruments; information on impediments or restrictions for disinvestment, for example as may be the case for illiquid financial instruments or financial instruments with a fixed investment term, including an illustration of the possible exit methods and consequences of any exit, possible constraints and the estimated time frame for the sale of the financial instrument before recovering the initial costs of the transaction in that type of financial instruments; the fact that an investor might assume, as a result of transactions in such instruments, financial commitments and other additional obligations, including contingent liabilities, additional to the cost of acquiring the instruments; any margin requirements or similar obligations, applicable to instruments of that type.

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