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Article 312-14 into force since

  • Version into force since
ELI : /en/eli/fr/aai/amf/rg/article/312-14/20180103/notes

I.- The investment services provider shall make information pertaining to clients' financial instruments readily available to the following persons or entities:

  1. the AMF;

  2. the mandataire judiciaire, administrateur judiciaire, liquidateur and commissaire à l'exécution du plan referred to in Annex B of Regulation (EU) 2015/848 of the European Parliament and of the Council of 20 May 2015 on insolvency proceedings;

  3. the Resolution College of the Autorité de contrôle prudentiel et de résolution.

II.- The information to be made available shall include:

  1. related internal accounts and records that readily identify the balances of financial instruments held for each client;

  2. the place where financial instruments are held by the service provider as well as details on the accounts opened with third parties and on agreements entered into with such entities;

  3. details of any outsourced tasks relating to the holding of financial instruments and details of third parties carrying out such tasks;

  4. key individuals of the service provider involved in related processes, including those responsible for oversight of the service provider's requirements in relation to the safeguarding of client financial instruments; and

  5. agreements making it possible to establish client ownership over financial instruments.