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Showing 3521–3530 of 63846 articles for “Art. s. L. 223-21 and L. 225-41”
…best 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 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…
…anagement companies 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 un…
…io management companies which design financial instruments for sale to clients : 1° Maintain, apply and review a validation process for each financial instrument and for significant adaptations of exi…
Investment services providers shall act honestly, fairly and professionally, in a way that promotes the integrity of the market.
…Agreement on the European Economic Area or in a State where the agreements provided for in article L. 632-16 are applicable are required, notwithstanding any provisions to the contrary, to forward to…
…than an asset management company to clients, including potential clients, shall be accurate, clear and not misleading. Promotional communications shall be clearly identifiable as such.II - Investment…
Investment firms shall devote the necessary human and financial resources to the training of the persons mentioned in I of Article L. 533-26.
…determine the conditions under which decisions to grant, refuse or withdraw authorisation are taken and notified, as well as the reporting requirements applicable to branches authorised in accordance…
Investment services providers shall keep, in accordance with the conditions laid down in the General Regulation of the Autorité des marchés financiers, relevant information relating to all transaction…
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