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Article D533-11 of the French Monetary and Financial Code

November 5, 2023

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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Article D533-11-1 of the French Monetary and Financial Code

November 5, 2023

Investment service providers other than portfolio management companies may, on their own initiative or at the request of a client, treat as a non-professional client, either generally or in respect of financial instruments, investment services or transactions, a client considered to be a professional client pursuant to the provisions of article D. 533-11. If the service provider agrees to this request, an agreement drawn up on a durable medium shall…

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Article D533-12 of the French Monetary and Financial Code

November 5, 2023

The retail client may waive part of the protection afforded by the rules of conduct. In this case, the investment services provider other than an asset management company may treat the retail client as a professional client, provided that it complies with the criteria and procedure set out in Article D. 533-12-1. However, non-professional clients must not be presumed to have knowledge and experience of the market comparable to that…

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Article D533-12-1 of the French Monetary and Financial Code

November 5, 2023

Clients referred to in Article D. 533-12 may waive the protection afforded by the rules of conduct only in accordance with the following procedure: 1° The client shall notify the investment service provider other than an asset management company in writing of its wish to be treated as a professional client, either at any time, or for a given investment service or transaction, or for a type of transaction or…

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Article D533-13 of the French Monetary and Financial Code

November 5, 2023

The following have the status of eligible counterparties within the meaning of Article L. 533-20: 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) The insurance and reinsurance undertakings referred to respectively in the first paragraph of article L. 310-1 and article L. 310-1-1 of the Insurance Code, the…

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Article D533-14 of the French Monetary and Financial Code

November 5, 2023

Investment service providers other than portfolio management companies may, on their own initiative or at the request of a client, treat as a professional or non-professional client, either generally or for each transaction, a client who might otherwise be classified as an eligible counterparty in accordance with the provisions of Article D. 533-13. An investment service provider other than an asset management company may, at the request of a professional…

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Article D533-15 of the French Monetary and Financial Code

November 5, 2023

I. – For the purposes of II of Article L. 533-12, the information provided to clients is as follows: 1° Where they provide the investment service referred to in 5° of Article L. 321-1, investment service providers other than portfolio management companies shall indicate to the client, in good time before the service is provided: – whether the investment advice is provided independently ; – whether the investment advice is…

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Article D533-15-1 of the French Monetary and Financial Code

November 5, 2023

I. – For the purposes of I bis of Article L. 533-13, professional clients wishing to benefit from the guarantees provided for therein shall inform the investment services provider either electronically or on paper. II. – For the purposes of 1° of III of Article L. 533-13, non-complex financial instruments are as follows: 1° Shares admitted to trading on a regulated market in a Member State of the European Union…

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Article D533-15-2 of the French Monetary and Financial Code

November 5, 2023

For the purposes of II of Article L. 533-15, the following conditions must be met: 1° The client has agreed to receive the suitability statement without undue delay after the conclusion of the transaction; 2° Investment services providers other than portfolio management companies have given the client the option of delaying the transaction so that it can receive the suitability statement beforehand. For the purposes of the last paragraph of…

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Article R533-16 of the French Monetary and Financial Code

November 5, 2023

I.-The shareholder engagement policy referred to in I of Article L. 533-22 describes the way in which the following elements in particular are ensured: 1° Monitoring of strategy, financial and non-financial performance, risks, capital structure, social and environmental impact and corporate governance; 2° Dialogue with the companies held; 3° Exercise of voting rights and other rights attached to shares; 4° Cooperation with other shareholders; 5° Communication with relevant stakeholders; 6°…

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is a Registered Trademark of
PETROFF LAW FIRM (SELARL LEGASTRAT)
182, rue de Rivoli
75001, Paris France
RCS Paris n°814433470
Paris Bar Registration n° (Toque) C2396

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is a Registered Trademark of
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75001, Paris France
RCS Paris n°814433470
Paris Bar Registration n° (Toque) C2396

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