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Book III - Service providers
Title II - Other service providers
Chapter I - Custody account-keepers
Section unique - Provisions relating to custody account-keeping - terms of reference for the custody account-keeper
Sub-section 4 - Professional obligations of the issuer entities considered in their capacity as custody account-keepers and provisions relating to the administration of registered financial securities
Paragraph 2 - Provisions of the terms of reference of the custody account-keeper applicable to legal entities issuing financial securities via offers to the public , except for those referred to in points 1 or 2 of Article L. 411-2 of the Monetary and Financial Code or Article L. 411-2-1 of said code and recording the financial securities issued in pure registered accounts
Article 322-69 from 19/04/2013 to 22/09/2021

Article 322-69 into force from to

  • Version into force from to
ELI : /en/eli/fr/aai/amf/rg/article/322-69/20130419/notes

Where the receipt of an order concerning financial securities is sent by a holder of pure registered financial securities, the issuer entity shall verify, prior to transmission of this order for execution on the market, that the conditions necessary for the said execution have in fact been fulfilled. In particular, it shall ensure the existence:

  1. Of an adequate cash provision or, failing that, suitable coverage, for a purchase of securities;

  2. Of an adequate provision in securities in the case of a sale, at least on the date of settlement and delivery.