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Showing 561–570 of 62236 articles for “Art. L 1237-1 et seq.”
…n order to supervise an investment service provider benefiting from the regime provided for in Article L. 532-18-1, the competent authorities of the home country to which it belongs may require its br…
…rson who in any capacity participates in the direction or management of an investment firm or portfolio management company or who is employed by the latter is bound by professional secrecy.Apart from…
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…
A portfolio management company may be struck off the list of approved portfolio management companies as a sanction by the Autorité des marchés financiers.Deregistration entails the liquidation of the…
An investment service provider other than an asset management company who receives an instruction to perform investment or related services on behalf of a client from another investment service provid…
I.-With a view to providing the service referred to in Article L. 321-1.2, investment service providers other than portfolio management companies shall adopt and apply procedures to ensure that client…
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…
I.- Investment service providers other than portfolio management companies shall report to their clients, in a durable medium, on the services provided to them. The report shall include periodic commu…
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…
I.- Investment services providers other than portfolio management companies shall take all reasonable steps to obtain, when executing orders, the best possible result for their clients having regard t…
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