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Article R533-1 of the French Monetary and Financial Code

Investment firms are required to close their financial year on 31 December. However, the Autorité de contrôle prudentiel et de résolution may authorise investment firms to derogate from this rule for the financial year in which they received their authorisation. Unless an exemption is granted by the Autorité de contrôle prudentiel et de résolution, investment firms must submit their annual accounts to the body competent to approve them before 31…

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Article R533-2 of the French Monetary and Financial Code

The provisions of Articles R. 533-1, R. 612-34, R. 612-36 to R. 612-50 and R. 613-10 to R. 613-23 also apply to the persons mentioned in Article 4 of Article L. 440-2. The Autorité de contrôle prudentiel et de résolution may authorise the persons referred to in the previous paragraph and investment firms whose business relates exclusively to financial futures instruments, the list of which is set by decree, to…

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Article D533-3 of the French Monetary and Financial Code

The statutory auditors referred to in Article L. 511-38 are appointed by the body of these institutions competent to approve the accounts. They are appointed for six financial years. Their term of office shall expire after the body competent to approve the accounts has ruled on the accounts for the sixth financial year. They may be reappointed.

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Article D533-4 of the French Monetary and Financial Code

I. – An investment service provider other than an asset management company shall establish and implement appropriate written policies and procedures for classifying its clients as non-professional clients, professional clients or eligible counterparties. Non-professional clients by nature are clients, including clients referred to in the first paragraph of paragraph 1 of II of Annex 2 to Directive 2014/65/EU of 15 May 2014, other than those referred to in Article D….

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Article D533-5 of the French Monetary and Financial Code

When entering into a relationship, an investment services provider other than an asset management company shall collect relevant information relating to the identity and legal capacity of any new client in accordance with the conditions set out in the General Regulation of the Autorité des marchés financiers.

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Article D533-11 of the French Monetary and Financial Code

The following are deemed to be professional clients within the meaning of article L. 533-16, for all investment services and all financial instruments: 1. a) The credit institutions referred to in article L. 511-9 ; b) The investment firms referred to in Article L. 531-4; c) Other authorised or regulated financial institutions; d) Insurance and reinsurance undertakings referred to respectively in the first paragraph of article L. 310-1 and article…

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