Article L533-15
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…
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Showing 4811–4820 of 69730 articles for “Art. L 3324-10 and R 3324-21-1”
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…
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.
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…
An investment service provider may use the services of tied agents, within the meaning of 29(1) of Article 4 of Directive 2014/65/EU of 15 May 2014 and who may be natural or legal persons, to provide…
I. - An intermediary in various goods is 1° Any person who, directly or indirectly, by means of promotional communication or canvassing, offers on a regular basis to one or more clients or potential c…
Collective investment management companies are portfolio management companies, legal entities that manage the AIFs mentioned in 3° of III of Article L. 214-24, managers of European venture capital fun…
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