Article L533-11
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…
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Showing 1–10 of 38630 articles for “Art. L 533-11”
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…
It is forbidden to sell job offers or job applications, regardless of the medium used. However, this prohibition does not prevent the insertion, for a consideration, of job offers or applications in a…
The following are deemed to be professional clients within the meaning of article L. 533-16, for all investment services and all financial instruments:1. a) The credit institutions referred to in arti…
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 other than portfolio management companies authorised to provide the services mentioned in 1, 2 or 3 of Article L. 321-1 may initiate or conclude transactions with eligibl…
The other convertible instruments referred to in 3° of Article L. 533-30-11 that may be used for the allocation of variable compensation are the only instruments that may be fully converted into Tier…
Investment firms shall require the instruments referred to in Article L. 533-30-11 to be held for a minimum period defined under the conditions set out in Article L. 533-30-1 so as to align the incent…
The provisions of Articles L. 533-11 to L. 533-16, L. 533-18, L. 533-19, L. 533-24 and L. 533-24-1 are applicable to transactions concluded on an organised trading system.
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…
…y a third party of research equipment or services to investment service providers, other than portfolio management companies, providing investment or related services to clients, shall be deemed to fu…
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