Article L533-13
…of Article L. 321-1, investment service providers other than portfolio management companies shall obtain the necessary information concerning the investment knowledge and experience of their clients,…
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Showing 2771–2780 of 57415 articles for “Art. s. 150 U and 200 B”
…of Article L. 321-1, investment service providers other than portfolio management companies shall obtain the necessary information concerning the investment knowledge and experience of their clients,…
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…
Asset management companies shall act honestly, fairly and professionally in the best interests of investors. All information, including promotional communications, sent by an asset management company…
Investment services providers other than portfolio management companies which design financial instruments for sale to clients : 1° Maintain, apply and review a validation process for each financial i…
Investment services providers shall act honestly, fairly and professionally, in a way that promotes the integrity of the market.
Undertakings established in France which are part of a group to which one or more management companies have their registered office in a Member State of the European Union or in another State party to…
Investment services providers other than portfolio management companies which use a high-frequency algorithmic trading technique shall keep an accurate and chronological record of all orders placed, i…
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…
Investment service providers other than portfolio management companies that design financial instruments for sale to clients and investment service providers that offer, recommend or market financial…
Investment firms shall devote the necessary human and financial resources to the training of the persons mentioned in I of Article L. 533-26.
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