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Advisor(s)
Abstract(s)
A presente dissertação incide sobre o tema dos deveres de informação dos
intermediários financeiros. A conduta dos intermediários financeiros em muito influencia
o modo de funcionamento dos mercados financeiros. O normal funcionamento do
mercado depende da segurança e confiança que os clientes-investidores possuem no
mesmo. Só desta forma poderemos ter investidores dispostos a aplicar as suas poupanças
no mercado. Mostra-se, portanto, muito importante que os intermediários financeiros
procurem agir de forma honesta, equitativa e profissional. Para que os investidores atuem
de forma consciente e informada na subscrição dos seus produtos, é imprescindível que
os intermediários financeiros pautem a sua atuação pelo cumprimento dos seus deveres
no geral e no particular, pelo cumprimento do seu dever de informação. Iremos analisar
em que consiste então este dever de informação e as consequências do seu
incumprimento; se é apenas sobre o intermediário financeiro que recaem deveres de
atuação; se o grau de conhecimento e experiência do cliente-investidor influencia a
aplicação deste regime e, por fim, analisar como são algumas destas questões decididas
nos nossos tribunais.
This dissertation focuses on the subject of the information duties of financial intermediaries. The conduct of financial intermediaries greatly influences the way financial markets operate. The normal functioning of the market depends on the security and confidence that clients-investor have in it. Only in this way we can have investors willing to apply their savings in the market. It is therefore very important that financial intermediaries seek to act honestly, fairly and professionally. In order for investors to act in a conscious and informed way in the subscription of their products, it is essential that financial intermediaries are responsible for fulfilling their duties in general and in particular, for the fulfilment of the information duty. We will analyze what this duty of information consists of and the consequences of non-compliance with such duty; whether it's only on the financial intermediary that fall duties of action; if the degree of knowledge and experience of the client-investor influences the application of this regime and finally, examine how some of these issues are decided in our courts.
This dissertation focuses on the subject of the information duties of financial intermediaries. The conduct of financial intermediaries greatly influences the way financial markets operate. The normal functioning of the market depends on the security and confidence that clients-investor have in it. Only in this way we can have investors willing to apply their savings in the market. It is therefore very important that financial intermediaries seek to act honestly, fairly and professionally. In order for investors to act in a conscious and informed way in the subscription of their products, it is essential that financial intermediaries are responsible for fulfilling their duties in general and in particular, for the fulfilment of the information duty. We will analyze what this duty of information consists of and the consequences of non-compliance with such duty; whether it's only on the financial intermediary that fall duties of action; if the degree of knowledge and experience of the client-investor influences the application of this regime and finally, examine how some of these issues are decided in our courts.
Description
Keywords
Deveres de informação Intermediário financeiro Investidor Depósito a prazo Obrigações Mercado dos valores mobiliários Responsabilidade Information duties Financial intermediary Investor Term deposit Bonds Securities market Responsibility