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New Alpha Asset Management is an investment management company approved by the Autorité des Marchés Financiers under number GP 05-00001 dated January 20, 2005.

The sole purpose of this site is to provide general information on New Alpha Asset Management, its management expertise and its products and services.

This information is not exhaustive, may change over time and may be updated by New Alpha Asset Management at any time without notice.

No information contained on this site constitutes an offer to buy or sell a financial instrument, or investment advice.

Before consulting the site, please read carefully the “legal information” and “regulatory information” for your own protection and interest.

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New Alpha » Regulatory information

Regulatory information

The European Directive on “Markets in Financial Instruments” (known as MiFID) established a comprehensive regulatory framework on order execution that is meant to allow competition in Europe between various trading venues. Such venues include regulated markets, multilateral platforms for trading and order-execution conducted by investment services providers, particularly through systematic internalisation, i.e., the Investment Service Provider matches orders to buy and sell financial instruments from clients in-house, thereby running an “internal” market.

This MiF directive aims to:

  • establishing competition between order-execution venues;
  • harmonising the terms for offering investment services;
  • making it easier for service providers to use the European “passport”.

 

It covers financial instruments and defines new obligations in terms of:

  • rules of conduct and best execution;
  • rules for evaluating and informing investment clients;
  • respect for market integrity, transaction declaration and record-keeping;
  • organisational principles to be complied with in order to prevent conflicts of interest;
  • post-trade transparency.

 

New Alpha Asset Management provides its clients with its Best Selection and Conflict of Interest Management policies, which comply with these regulatory obligations.

The regulatory information presented below concerns New Alpha Asset Management.