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Showing 631–640 of 66668 articles for “Art. 387-1 and 505”
…investment service provider who has issued the instruction remains responsible for the completeness and accuracy of the information transmitted.An investment service provider other than an asset manag…
…icle L. 321-1.2, investment service providers other than portfolio management companies shall adopt and apply procedures to ensure that client orders are executed promptly and fairly in relation to or…
…the nature of the service offered or provided, the nature of the financial instrument in question, and the professional or non-professional nature of the client, particularly the potential client. A…
…provided to them. The report shall include periodic communications to clients depending on the type and complexity of the financial instruments concerned and the nature of the service provided to clie…
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…
…best possible result for their clients having regard to price, cost, speed, likelihood of execution and settlement, size, nature of the order or any other considerations relating to the execution of t…
…lio management companies shall obtain the necessary information concerning the investment knowledge and experience of their clients, in particular their potential clients, in relation to the specific…
…anagement companies shall keep a record, including the document or documents approved by themselves and their clients, setting out the rights and obligations of the parties and the other conditions un…
Investment services providers shall act honestly, fairly and professionally, in a way that promotes the integrity of the market.
…than an asset management company to clients, including potential clients, shall be accurate, clear and not misleading. Promotional communications shall be clearly identifiable as such.II - Investment…
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