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Theoretical and Applied Economics
No. 2 / 2006 (497)

Financial Investment Services Regulation

Gabriela Anghelache
Academia de Studii Economice Bucuresti

Abstract. This article includes the latest regulations regarding the financial investments services. After presenting some elements about prudence and conduct rules, the peculiar aspects of the presentation form and of the contract, with all the forms demanded by such transaction, are analyzed. Afterwards, the focus is set on the transparency and integrity of the operations. Another aspect is about the free circulation of services and about the role of the clearing fund, being distinguished all the sensitive elements this fund raises.

Keywords: financial investments; prudence; transparency; surveillance; clearing.

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