Article L533-12-6
Investment service providers other than portfolio management companies shall ensure and be able to demonstrate to the AMF that the natural persons who provide investment advice or information on finan…
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Showing 5901–5910 of 69730 articles for “Art. L 3324-10 and R 3324-21-1”
Investment service providers other than portfolio management companies shall ensure and be able to demonstrate to the AMF that the natural persons who provide investment advice or information on finan…
I.-Investment firms shall have robust strategies, policies, processes and systems in place to identify, measure, manage and monitor the following: 1° The significant causes and effects of risks to cli…
I.-In their sustainability risk policy, made public pursuant to Article 3 of the Regulation of the European Parliament and of the Council on the publication of sustainable investment and sustainabilit…
Investment firms shall ensure that all loans granted to members of the board of directors, the supervisory board or any other body exercising equivalent supervisory functions or to their related parti…
When an investment service provider other than a portfolio management company informs clients that the service referred to in Article L. 321-1 (5) is provided independently :1° It evaluates a sufficie…
Investment service providers may not send, directly or indirectly, by electronic means, promotional communications to clients who are likely to be non-professional, in particular potential clients, re…
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…
Investment firms which have at least one credit institution, investment firm or financial institution within the meaning of Article L. 511-21 as a subsidiary or which have a holding in such an institu…
Investment service providers other than asset management companies that execute client orders shall monitor the effectiveness of their order execution arrangements and execution policy in order to ide…
Investment services providers offering, recommending or marketing financial instruments: 1° Ensure that they understand the characteristics of these financial instruments and assess their compatibilit…
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