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Showing 2361–2370 of 66755 articles for “Art. 492 al. 1 and Art. 493 al. 1”
Articles L. 533-11 to L. 533-15 apply taking into account the nature of the service offered or provided, the nature of the financial instrument in question, and the professional or non-professional na…
…provided to them. The report shall include periodic communications to clients depending on the type and complexity of the financial instruments concerned and the nature of the service provided to clie…
When providing investment and investment-related services to clients, investment service providers other than asset management companies shall act honestly, fairly and professionally, in the best inte…
…best possible result for their clients having regard to price, cost, speed, likelihood of execution and settlement, size, nature of the order or any other considerations relating to the execution of t…
I.-In order to provide the services mentioned in 4 or 5 of Article L. 321-1, investment service providers other than portfolio management companies shall obtain the necessary information concerning th…
…anagement companies shall keep a record, including the document or documents approved by themselves and their clients, setting out the rights and obligations of the parties and the other conditions un…
Investment services providers shall act honestly, fairly and professionally, in a way that promotes the integrity of the market.
…than an asset management company to clients, including potential clients, shall be accurate, clear and not misleading. Promotional communications shall be clearly identifiable as such.II - Investment…
I.-Portfolio management companies : 1° Put in place rules and procedures to ensure compliance with the provisions applicable to them, including those set out in Article 11 of Regulation (EU) No 648/20…
An investment service provider may use the services of tied agents, within the meaning of 29(1) of Article 4 of Directive 2014/65/EU of 15 May 2014 and who may be natural or legal persons, to provide…
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