Article L533-13
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…
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Showing 8541–8550 of 18290 articles for “Art. 5 fév. 2014”
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…
Where an investment service provider other than an asset management company offers an investment service together with another service or product as part of a package or as a condition of obtaining th…
…ll be clearly disclosed and shall not be subject to the requirements of this Article and Article L. 533-12-4.
…sactions with eligible counterparties without complying with the obligations set out in Articles L. 533-11 to L. 533-14, with the exception of III bis of article L. 533-12, articles L. 533-15 and L. 5…
Where the denunciation is made by all the signatory employers or all the signatory employees, the agreement or arrangement continues to have effect until the entry into force of the agreement or arran…
During the performance of the contract, the purchaser shall communicate to the beneficiaries of the pledge or assignment of receivables, when they so request:1° Either a summary statement of the servi…
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