Title III: Investment services providers

Investment firms are bound by the obligations of Articles L. 511-35, L. 511-36, L. 511-37 and L. 511-39. They shall have sound accounting procedures. The previous paragraph applies to portfolio management companies, with the exception of article L. 511-37.

Investment services providers, market undertakings and clearing houses must provide the Banque de France with the information required to compile monetary statistics.

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 the 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 undertakings in…

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 transactions in financial instruments that they have entered into.

When investment service providers other than portfolio management companies trade over-the-counter financial instruments that are economically equivalent to commodity derivatives, units referred to in Article L. 229-7 of the Environmental Code or to financial contracts underlying the latter, they shall provide, in accordance with Article 26 of Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and, where…