Article D533-4
I. - An investment service provider other than an asset management company shall establish and implement appropriate written policies and procedures for classifying its clients as non-professional cli…
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Showing 21–30 of 23814 articles for “Art. D 533-5”
I. - An investment service provider other than an asset management company shall establish and implement appropriate written policies and procedures for classifying its clients as non-professional cli…
Investment service providers, other than asset management companies, shall ensure that they do not remunerate or assess the performance of their employees in a way that undermines their duty to act in…
I. - For the purposes of II of Article L. 533-12, the information provided to clients is as follows:1° Where they provide the investment service referred to in 5° of Article L. 321-1, investment servi…
The sentenced person subject to conditional release must undergo the supervision measures provided for by article 132-44 of the Penal Code.
The Autorité de contrôle prudentiel et de résolution shall take into account any guidance issued by the European Banking Authority for the application of Article L. 533-4.
For the purposes of II of Article L. 533-15, the following conditions must be met:1° The client has agreed to receive the suitability statement without undue delay after the conclusion of the transact…
The following are deemed to be professional clients within the meaning of article L. 533-16, for all investment services and all financial instruments:1. a) The credit institutions referred to in arti…
…ses of I bis of Article L. 533-13, professional clients wishing to benefit from the guarantees provided for therein shall inform the investment services provider either electronically or on paper.II.…
If justified by the nature of the offences committed by the offender and his personality, the decision granting conditional release may specify that the offender will be subject to enhanced monitoring…
The statutory auditors referred to in Article L. 511-38 are appointed by the body of these institutions competent to approve the accounts. They are appointed for six financial years. Their term of off…
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