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Showing 2241–2250 of 69831 articles for “Art. I-1°-b and b bis”
I. - Any member of a board of directors or, as the case may be, of a supervisory board and any person who in any capacity participates in the direction or management of an investment firm or portfolio…
Within the limits of the services it is authorised to provide in its home country, and depending on the authorisation it has received there, any legal or natural person authorised to provide investmen…
A portfolio management company may be struck off the list of approved portfolio management companies as a sanction by the Autorité des marchés financiers.Deregistration entails the liquidation of the…
…n asset management company who receives an instruction to perform investment or related services on behalf of a client from another investment service provider other than an asset management company m…
…icle L. 321-1.2, investment service providers other than portfolio management companies shall adopt and apply procedures to ensure that client orders are executed promptly and fairly in relation to or…
…the nature of the service offered or provided, the nature of the financial instrument in question, and the professional or non-professional nature of the client, particularly the potential client. A…
…service providers other than portfolio management companies shall report to their clients, in a durable medium, on the services provided to them. The report shall include periodic communications to cl…
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…
I.- Investment services providers other than portfolio management companies shall take all reasonable steps to obtain, when executing orders, the best possible result for their clients having regard t…
…of Article L. 321-1, investment service providers other than portfolio management companies shall obtain the necessary information concerning the investment knowledge and experience of their clients,…
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