Article L533-21
Portfolio management companies are prohibited from receiving deposits of funds, securities or gold from their clients.
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Showing 3611–3620 of 68886 articles for “Art. L 221-24 to L 221-26 and R 221-79”
Portfolio management companies are prohibited from receiving deposits of funds, securities or gold from their clients.
I.-The portfolio management companies mentioned in article L. 532-9, with the exception of those which exclusively manage FIAs covered by I of article L. 214-167, FIAs covered by IV of article L. 532-…
Investment firms are bound by the obligations of Articles L. 511-35, L. 511-36, L. 511-37 and L. 511-39. They shall have sound accounting procedures.The previous paragraph applies to portfolio managem…
I.- Investment 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 commu…
A decree of the Conseil d'Etat shall specify the conditions of application of this sub-section.
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…
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…
Investment services providers shall act honestly, fairly and professionally, in a way that promotes the integrity of the market.
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