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Richtlinie zur Konkretisierung...

English translation: (implementation) guideline on organisational duties of investment services enterprises

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12:13 Aug 2, 2001
German to English translations [PRO]
Bus/Financial
German term or phrase: Richtlinie zur Konkretisierung...
Richtlinie zur Konkretisierung der Organisationspflichten von
Wertpapierdienstleistungsunternehmen
("Compliance-Richtlinie")
Ralf Lemster
Germany
Local time: 04:44
English translation:(implementation) guideline on organisational duties of investment services enterprises
Explanation:
Perhaps this is what you may be looking for:

"New compliance guideline from the BAWe

Frankfurt am Main, 16 November 1999

The Bundesaufsichtsamt für den Wertpapierhandel (BAWe), the German securities watchdog, has published on 6 November 1999 its guideline on "Organisational duties of investment services enterprises" (Compliance-Guideline). The guideline sets out in detail the organisational duties resulting from the Securities Trading Act (Wertpapierhandelsgesetz) for the investment services enterprises. According to this guideline the organisation of an investment services enterprise must always observe the interests of its customers. The new regulation replaces the guideline with the same content of 2 December 1998 which applied only to credit institutions (i.e. banks). The guideline solely extends the area of application of the regulation to financial services institutions. Credit institutions are not affected by any changes.

2. ... implementation guideline, A document describing an agreed way of using an EDI standard message to carry out a particular business transaction.


Selected response from:

Vesna Zivcic
Local time: 04:44
Grading comment
Good research! The BAWe context was exactly what I was looking for.
4 KudoZ points were awarded for this answer

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Summary of answers provided
na +1alternativeBeth Kantus
na(implementation) guideline on organisational duties of investment services enterprises
Vesna Zivcic
naConcrete guidelines of the organisational duties.....
Helga Rhoades
naguidelines defining the organisatory duties of...Klaus Dorn


  

Answers


14 mins
guidelines defining the organisatory duties of...


Explanation:
"Richtlinie" is most of the time guideline, "konkretisieren" could either be defining or clarifying and the organisatory duties are in my opinion a good way to translate "Ordnungspflichten". As for the business type itself, I wonder whether it is talking about "share shops" or "share service businesses". I prefer share shops, as we have them in the UK.

Klaus Dorn
Local time: 06:44
Native speaker of: Native in EnglishEnglish, Native in GermanGerman
PRO pts in pair: 1514
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39 mins
Concrete guidelines of the organisational duties.....


Explanation:
Konkret (adjective) - concrete or definite (baseword of konkretisierung)

To stay as close as possible to the original, and to keep it as unconvoluted as possible, but yet still clear, I would use above.

Helga Rhoades
United States
Local time: 21:44
Native speaker of: Native in GermanGerman
PRO pts in pair: 4
Login to enter a peer comment (or grade)

51 mins peer agreement (net): +1
alternative


Explanation:
Guideline outlining the organizational obligations/requirements of brokerage firms/companies/services ("Compliance Guideline")

Speech
... law. If the real estate brokerage industry is to be regarded by ... the Canadian Real
Estate Association Compliance Guideline for Real Estate Boards, and ...
strategis.ic.gc.ca/SSG/ct01315e.html - 53k - Cached - Similar pages


Untitled
... 1/1/94 Actuarial Compliance Guideline 10/1/92 10/1 ... Tax Handbook: Strategies for Compliance
1/1/93 1/1 ... 1/92 current Handbook of Stock Brokerage Accounting 1/1/94 1 ...
jake.med.yale.edu/data/jakeid20581.txt - 101k - Cached - Similar pages


[PDF] www.nasdr.com/pdf-text/ntm99june_monthly.pdf
... report dards; instead, individual brokerage their current financial information to ... making
activities.1 In compliance guideline might discuss addition ...
Text version - Similar pages


Working Capito l- Babysitting Brokers: A flurry of cases ...
... the retribution for fairly significant brokerage abuses can seem relatively ... practices.
"For instance, a compliance guideline might discuss NASD rules ...
sdp1.client.dti.net/Practice_Management/Broker-Dealer/20000201026.html - 24k


HTH!


Beth Kantus
United States
Local time: 22:44
Native speaker of: English
PRO pts in pair: 924

Peer comments on this answer (and responses from the answerer)
agree  Marcus Malabad: sound better! just had to combine 2 previous answers...
2 mins
  -> thanks, but actually both the answer and the small amount of research were entirely my own
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1 hr
(implementation) guideline on organisational duties of investment services enterprises


Explanation:
Perhaps this is what you may be looking for:

"New compliance guideline from the BAWe

Frankfurt am Main, 16 November 1999

The Bundesaufsichtsamt für den Wertpapierhandel (BAWe), the German securities watchdog, has published on 6 November 1999 its guideline on "Organisational duties of investment services enterprises" (Compliance-Guideline). The guideline sets out in detail the organisational duties resulting from the Securities Trading Act (Wertpapierhandelsgesetz) for the investment services enterprises. According to this guideline the organisation of an investment services enterprise must always observe the interests of its customers. The new regulation replaces the guideline with the same content of 2 December 1998 which applied only to credit institutions (i.e. banks). The guideline solely extends the area of application of the regulation to financial services institutions. Credit institutions are not affected by any changes.

2. ... implementation guideline, A document describing an agreed way of using an EDI standard message to carry out a particular business transaction.





    Reference: http://www.bawe.de/english/pm99_13e.htm
    Reference: http://www.helpfindit.com/glossi.html
Vesna Zivcic
Local time: 04:44
Native speaker of: Croatian
PRO pts in pair: 571
Grading comment
Good research! The BAWe context was exactly what I was looking for.
Login to enter a peer comment (or grade)




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