Article D532-23-3
Where, pursuant to I of Article L. 532-24, an investment firm or credit institution wishes to provide custody account keeping services in another Member State of the European Union or party to the Agr…
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Showing 5961–5970 of 65175 articles for “Art. 1397 al. 9 and Art. 1341-2”
Where, pursuant to I of Article L. 532-24, an investment firm or credit institution wishes to provide custody account keeping services in another Member State of the European Union or party to the Agr…
…23 are subject to the procedure provided for in I ofArticle L. 511-27, subject to the observations and opinions of the Autorité des marchés financiers provided for in this sub-paragraph.Credit instit…
Articles R. 533-18-3 and R. 533-18-4 apply to portfolio management companies.
…nformation to the Autorité des marchés financiers: 1° The identity of the persons referred to in 1° and 2° of Article L. 54-10-3, documents relating to the good repute of these persons, in particular…
…ruments 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.
…ther body exercising equivalent supervisory functions shall have adequate access to the information and documents necessary to supervise and monitor management decisions.
…urse may also take into account the failure to comply with the requirements relating to good repute and competence applicable to the person concerned.
…ient the option of delaying the transaction so that it can receive the suitability statement beforehand.For the purposes of the last paragraph of Article L. 533-15, professional clients wishing to ben…
…the application of Articles L. 561-7, L. 561-20, 3° of Article R. 561-5-2, 2° of Article R. 561-5-3 and Article R. 561-9, the persons mentioned in Article L. 561-2 concerned shall assess the level of…
I.-The persons referred to in Article L. 561-2 shall define and implement procedures enabling them to determine whether the transaction they are carrying out is one of those referred to in 3° of Artic…
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