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Showing 11–20 of 23814 articles for “Art. D 533-5”
Investment service providers other than portfolio management companies may, on their own initiative or at the request of a client, treat as a professional or non-professional client, either generally…
The retail client may waive part of the protection afforded by the rules of conduct. In this case, the investment services provider other than an asset management company may treat the retail client a…
The financial futures instruments referred to in the second paragraph of article R. 533-2 are those referred to in 2, 3, 4, 7 and 8 of I of article D. 211-1 A.
The Autorité de contrôle prudentiel et de résolution shall monitor the level of own funds that has been determined by each Class 2 investment firm in accordance with Article L. 533-2-2 and shall verif…
…ng have the status of eligible counterparties within the meaning of Article L. 533-20: 1. a) The credit institutions referred to in Article L. 511-9 ; b) The investment firms referred to in article L.…
Clients referred to in Article D. 533-12 may waive the protection afforded by the rules of conduct only in accordance with the following procedure: 1° The client shall notify the investment service pr…
I.-The persons mentioned in Article L. 533-29-3 shall draw up a table grouping together the information relating to their establishments by State or territory, mentioned in 1° of the same article, as…
In accordance with the provisions of article D. 530-5 of the Penitentiary Code governing the visits that the sentenced person is required to receive from the staff of the prison integration and probat…
Investment services providers other than portfolio management companies that use algorithmic trading in a Member State of the European Union or party to the Agreement on the European Economic Area sha…
Investment service providers other than portfolio management companies may, on their own initiative or at the request of a client, treat as a non-professional client, either generally or in respect of…
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