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Showing 8691–8700 of 18177 articles for “Art. 5 oct. 2017”
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…
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.
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