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 2751–2760 of 64414 articles for “Art. 2 and 202 ter”
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…
Credit institutions wishing to establish a branch in application of I ofArticle L. 532-23 are subject to the procedure provided for in I ofArticle L. 511-27, subject to the observations and opinions o…
Articles R. 533-18-3 and R. 533-18-4 apply to portfolio management companies.
To register in accordance with Article L. 54-10-3, applicants must send the following information to the Autorité des marchés financiers: 1° The identity of the persons referred to in 1° and 2° of Art…
The financial futures instruments 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.
…ons must be met:1° The client has agreed to receive the suitability statement without undue delay after the conclusion of the transaction;2° Investment services providers other than portfolio manageme…
For 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…
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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