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Showing 2130 of 69341 articles for Art. L 533-12-7 and L 541-9-1

French Monetary and Financial CodeIn force
Section 2: Management standards applicable to investment services providers and prudential provisions applicable to investment firms

Article L533-4-7

The Autorité de contrôle prudentiel et de résolution shall notify the Conseil de résolution unique of any additional capital requirements in accordance with Article L. 533-4-4 and any expected adjustm…

AI translation · Updated 7 Nov 2023Open Article
French Monetary and Financial CodeIn force
Subsection 1: Provisions relating to investment service providers other than portfolio management companies

Article D533-12

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…

AI translation · Updated 5 Nov 2023Open Article
French Monetary and Financial CodeIn force
Subsection 1: Provisions relating to investment service providers other than portfolio management companies

Article D533-12-1

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…

AI translation · Updated 5 Nov 2023Open Article
French Monetary and Financial CodeIn force
Subsection 1: Provisions common to investment services providers other than portfolio management companies

Article L533-13-1

If a property loan within the meaning of Chapter III of Title I of Book III of the Consumer Code subject to the provisions relating to the assessment of consumer solvency includes as a precondition th…

AI translation · Updated 7 Nov 2023Open Article
French Monetary and Financial CodeIn force
Subsection 1: Provisions common to investment services providers other than portfolio management companies

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…

AI translation · Updated 7 Nov 2023Open Article
French Monetary and Financial CodeIn force
Subsection 1: Provisions common to investment services providers other than portfolio management companies

Article L533-17

…vider 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 provider other than an asset ma…

AI translation · Updated 7 Nov 2023Open Article
French Monetary and Financial CodeIn force
Subsection 1: Provisions common to investment services providers other than portfolio management companies

Article L533-19

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…

AI translation · Updated 7 Nov 2023Open Article
French Monetary and Financial CodeIn force
Subsection 1: Provisions common to investment services providers other than portfolio management companies

Article L533-15

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…

AI translation · Updated 7 Nov 2023Open Article
French Monetary and Financial CodeIn force
Subsection 1: Provisions common to investment services providers other than portfolio management companies

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…

AI translation · Updated 7 Nov 2023Open Article
French Monetary and Financial CodeIn force
Subsection 1: Provisions common to investment services providers other than portfolio management companies

Article L533-18

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…

AI translation · Updated 7 Nov 2023Open Article
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Mariela Petrova

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