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Showing 5991–6000 of 63585 articles for “Art. L. 631-7 et L. 631-7-1”
…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…
…possible result for their clients having regard to price, cost, speed, likelihood of execution and settlement, size, nature of the order or any other considerations relating to the execution of the or…
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…
…shall keep a record, including the document or documents approved by themselves and their clients, setting out the rights and obligations of the parties and the other conditions under which the former…
…ders shall act honestly, fairly and professionally, in a way that promotes the integrity of the market.
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