Article L531-12
I. - Any member of a board of directors or, as the case may be, of a supervisory board and any person who in any capacity participates in the direction or management of an investment firm or portfolio…
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Showing 621–630 of 66667 articles for “Art. 729-1 and 755”
I. - Any member of a board of directors or, as the case may be, of a supervisory board and any person who in any capacity participates in the direction or management of an investment firm or portfolio…
Within the limits of the services it is authorised to provide in its home country, and depending on the authorisation it has received there, any legal or natural person authorised to provide investmen…
…e European Economic Area, this deregistration entails the liquidation of the branch's balance sheet and off-balance sheet items.Any company that has been deregistered remains subject to the supervisio…
…investment service provider who has issued the instruction remains responsible for the completeness and accuracy of the information transmitted.An investment service provider other than an asset manag…
…icle L. 321-1.2, investment service providers other than portfolio management companies shall adopt and apply procedures to ensure that client orders are executed promptly and fairly in relation to or…
…the nature of the service offered or provided, the nature of the financial instrument in question, and the professional or non-professional nature of the client, particularly the potential client. A…
…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…
…lio management companies shall obtain the necessary information concerning the investment knowledge and experience of their clients, in particular their potential clients, in relation to the specific…
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