Article L533-15
…portfolio management companies that provide the investment service referred to in Article L. 321-1.5 shall provide clients with a declaration of suitability on a durable medium prior to the transacti…
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Showing 8381–8390 of 17987 articles for “Art. 5 avr. 1978”
…portfolio management companies that provide the investment service referred to in Article L. 321-1.5 shall provide clients with a declaration of suitability on a durable medium prior to the transacti…
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…
Investment service providers may not send, directly or indirectly, by electronic means, promotional communications to clients who are likely to be non-professional, in particular potential clients, re…
…venue that fails to comply with the requirements of I of this article, 3° of I or II of article L. 533-10, articles L. 533-11 to L. 533-12-4 and articles L. 533-24 and L. 533-24-1.
Investment service providers other than asset management companies shall not pay or receive any remuneration or commission or provide or receive any non-monetary benefit in connection with the provisi…
I.-In order to provide the services mentioned in 4 or 5 of Article L. 321-1, investment service providers other than portfolio management companies shall obtain the necessary information concerning th…
Investment service providers other than portfolio management companies shall keep a record, including the document or documents approved by themselves and their clients, setting out the rights and obl…
I. - All information, including promotional communications, addressed by an investment service provider other than an asset management company to clients, including potential clients, shall be accurat…
…investment or related services to clients, shall be deemed to fulfil the obligations of Article L. 533-11 if : 1° Prior to the provision of execution services or research services or materials, the i…
…execution arrangements in the light of the information available pursuant to Articles L. 420-17, L. 533-18-1, L. 533-19 and L. 533-33.Each investment service provider other than an asset management co…
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