Article 312-14 into force since
- Version into force since
I.- The investment services provider shall make information pertaining to clients' financial instruments readily available to the following persons or entities:
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;
the Resolution College of the Autorité de contrôle prudentiel et de résolution.
II.- The information to be made available shall include:
related internal accounts and records that readily identify the balances of financial instruments held for each client;
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;
details of any outsourced tasks relating to the holding of financial instruments and details of third parties carrying out such tasks;
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
agreements making it possible to establish client ownership over financial instruments.
Head of publications: The Executive Director of AMF Communication Directorate. Contact: Communication Directorate – Autorité des marches financiers 17 place de la Bourse – 75082 Paris cedex 02