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Showing 621–630 of 62240 articles for “Art. L. 124-1 et seq.”
…son or representative offices in France, they must first notify the Autorité de contrôle prudentiel et de résolution, which will inform the Autorité des marchés financiers. These offices shall state t…
…rder to supervise an investment service provider benefiting from the regime provided for in Article L. 532-18-1, the competent authorities of the home country to which it belongs may require its branc…
…aw so provides, professional secrecy may not be invoked against the Autorité de contrôle prudentiel et de résolution, the Autorité des marchés financiers, the Banque de France, the Institut d'émission…
…rson authorised to provide investment services may, without prejudice to the provisions of Articles L. 511-21 to L. 511-26, provide investment and related services under the freedom to provide service…
…the European Economic Area, this deregistration entails the liquidation of the branch's balance sheet and off-balance sheet items.Any company that has been deregistered remains subject to the supervi…
An investment service provider other than an asset management company who receives an instruction to perform investment or related services on behalf of a client from another investment service provid…
I.-With a view to providing the service referred to in Article L. 321-1.2, investment service providers other than portfolio management companies shall adopt and apply procedures to ensure that client…
Articles L. 533-11 to L. 533-15 apply taking into account the nature of the service offered or provided, the nature of the financial instrument in question, and the professional or non-professional na…
…ther than portfolio management companies that provide the investment service referred to in Article L. 321-1.5 shall provide clients with a declaration of suitability on a durable medium prior to the…
…g investment and investment-related services to clients, investment service providers other than asset management companies shall act honestly, fairly and professionally, in the best interests of thei…
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