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Article 312-15 into force since

  • Version into force since
ELI : /en/eli/fr/aai/amf/rg/article/312-15/20180103/notes

The investment services provider shall take appropriate measures to prevent the unauthorised use of client financial instruments for its own account or the account of any other person, such as:

  1. the conclusion of agreements with clients on measures to be taken by the investment services provider in case the client does not have provision on its account at the settlement date, such as the borrowing of the corresponding financial instruments on behalf of the client or unwinding the position;

  2. the close monitoring by the service provider of its projected ability to deliver on the settlement date and the putting in place of remedial measures if this cannot be done; and

  3. the close monitoring and prompt requesting of undelivered financial instruments outstanding on the settlement day.