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Showing 5681–5690 of 21962 articles for “Art. BOFiP-IS-CHAMP-10-30-§§ 320 et 330”
The Autorité de contrôle prudentiel et de résolution shall monitor the level of own funds that has been determined by each Class 2 investment firm in accordance with Article L. 533-2-2 and shall verif…
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…
…the service referred to in Article L. 321-1.5, these same providers shall indicate to the client whether or not the benefits associated with a change of financial instruments outweigh the costs assoc…
…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 under which the former…
Asset management companies shall act honestly, fairly and professionally in the best interests of investors. All information, including promotional communications, sent by an asset management company…
…al instrument and for significant adaptations of existing financial instruments before they are marketed or distributed to clients. This validation process determines a defined target market of end cl…
…ders shall act honestly, fairly and professionally, in a way that promotes the integrity of the market.
Undertakings established in France which are part of a group to which one or more management companies have their registered office in a Member State of the European Union or in another State party to…
…including promotional communications, addressed by an investment service provider other than an asset management company to clients, including potential clients, shall be accurate, clear and not misl…
…ncial instruments for sale to clients and investment service providers that offer, recommend or market financial instruments are not subject to the obligations set out in Article L. 533-24 and 1° to 3…
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