Gli esposti della clientela e l’intervento sanzionatorio delle autorità

Translated title of the contribution: [Autom. eng. transl.] The complaints of customers and the sanctioning intervention of the authorities

Research output: Chapter in Book/Report/Conference proceedingChapter

Abstract

[Autom. eng. transl.] The work proposes an analysis of the inspection and sanctioning activities carried out by the Supervisory Authorities, in particular by Consob, towards intermediaries authorized to perform professionally one or more investment services. The objective of the survey is to evaluate which are the Consob guidelines in identifying and resolving conflicts of interest related to activities and behaviors held by intermediaries towards customers. The first part of the work is devoted to the analysis of the criteria on the basis of which the Supervisory Authority carries out its own inspection activity, while the second part of the work focuses on the sanctioning activity.
Translated title of the contribution[Autom. eng. transl.] The complaints of customers and the sanctioning intervention of the authorities
Original languageItalian
Title of host publicationBanche, servizi di investimento e conflitti di interesse
EditorsMARIO ANOLLI, ALBERTO BANFI, GAETANO MARIA GIOVANNI PRESTI, MATTEO RESCIGNO
Pages50-90
Number of pages41
Publication statusPublished - 2007

Keywords

  • Conflitti di interesse, Compliance, Consob

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