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Showing 8531–8540 of 18290 articles for “Art. 5 fév. 2014”
An investment service provider 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 provid…
…limit orders for an unusually large size within the meaning of Article 4 of Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instrument…
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…
…an a portfolio management company informs clients that the service referred to in Article L. 321-1 (5) is provided independently :1° It evaluates a sufficient range of financial instruments available…
…loan can be repaid, refinanced or amortised, this investment service is not subject to articles L. 533-12-6, L. 533-13, L. 533-14 and L. 533-15.
…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…
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…
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