Article L533-16
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…
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Showing 3941–3950 of 63941 articles for “Art. L 145-31 and L 145-15”
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…
Investment services providers, market undertakings and clearing houses must provide the Banque de France with the information required to compile monetary statistics.
Portfolio management companies are prohibited from receiving deposits of funds, securities or gold from their clients.
I.-The portfolio management companies mentioned in article L. 532-9, with the exception of those which exclusively manage FIAs covered by I of article L. 214-167, FIAs covered by IV of article L. 532-…
Investment firms are bound by the obligations of Articles L. 511-35, L. 511-36, L. 511-37 and L. 511-39. They shall have sound accounting procedures.The previous paragraph applies to portfolio managem…
A decree of the Conseil d'Etat shall specify the conditions of application of this sub-section.
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…
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…
Investment service providers other than portfolio management companies shall keep a record, including the document or documents approved by themselves and their clients, setting out the rights and obl…
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