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Book III - Service providers
Title I - Investment services providers
Chapter II - Organisational rules
Section 2 - Verification of the knowledge of specified persons
Article 312-4 from 03/01/2018

Article 312-4 into force since

  • Version into force since
ELI : /en/eli/fr/aai/amf/rg/article/312-4/20180103/notes

  1. An asset manager is any person authorised to take investment decisions in connection with an individual investment mandate;

  2. A head of financial instrument clearing is a natural person representing the clearing member before the clearing house with respect to transaction registration, risk organisation and supervision, and the related financial instrument clearing functions;

  3. A head of post-trade services is a person who assumes direct responsibility for custody account keeping, settlement, depositary functions, securities administration or securities services for issuers.