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Les prestataires de services d'investissement ne peuvent fournir le service défini au 4 de l'article L. 321-1 qu'en vertu d'une convention écrite.
\n
" } }, "LEGIARTI000006652173": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L321-1", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2007-11-01", "DATE_DEBUT": "2001-01-01" } }, "META_COMMUN": { "ID": "LEGIARTI000006652173", "URL": "article/LEGI/ARTI/00/00/06/65/21/LEGIARTI000006652173.xml", "NATURE": "Article", "ORIGINE": "LEGI", "ANCIEN_ID": "AELXXXXXXXX321L001AXXXAA" } }, "LIENS": { "LIEN": [ { "@id": "LEGIARTI000006328302", "@num": "10", "#text": "Décret n°89-623 du 6 septembre 1989 - art. 10 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000332976", "@nortexte": "ECOT8920101D", "@numtexte": "89-623", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "1989-09-06" }, { "@id": "LEGIARTI000006709157", "@num": "4", "#text": "Loi n°96-597 du 2 juillet 1996 - art. 4 (Ab)", "@sens": "source", "@cidtexte": "JORFTEXT000000193847", "@nortexte": "ECOX9500164L", "@numtexte": "96-597", "@typelien": "CONCORDANCE", "@naturetexte": "LOI", "@datesignatexte": "1996-07-02" }, { "@id": "LEGIARTI000006709157", "@num": "4", "#text": "Loi n°96-597 du 2 juillet 1996 - 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art. 319-14 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000046581491", "@num": "319-27", "#text": "Arrêté du 12 novembre 2004 - art. 319-27 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000046581486", "@num": "320-25", "#text": "Arrêté du 12 novembre 2004 - art. 320-25 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000046581481", "@num": "321-135", "#text": "Arrêté du 12 novembre 2004 - art. 321-135 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000046581476", "@num": "321-152", "#text": "Arrêté du 12 novembre 2004 - art. 321-152 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000028050491", "@num": "521-2", "#text": "Arrêté du 12 novembre 2004 - art. 521-2 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000044073440", "@num": "8", "#text": "Ordonnance n° 2006-344 du 23 mars 2006 - art. 8 (VD)", "@sens": "cible", "@cidtexte": "JORFTEXT000000456741", "@nortexte": "ECOX0600006R", "@numtexte": "2006-344", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2006-03-23" }, { "@id": "LEGIARTI000006262620", "@num": "6", "#text": "Ordonnance n° 2007-544 du 12 avril 2007 - art. 6 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000649479", "@nortexte": "ECOX0700039R", "@numtexte": "2007-544", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2007-04-12" }, { "@id": "LEGIARTI000043865856", "@num": "1", "#text": "Arrêté du 5 septembre 2007 - art. 1 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000247728", "@nortexte": "ECET0761510A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2007-09-05" }, { "@id": "LEGIARTI000027393230", "@num": "58", "#text": "Arrêté du 2 mai 2013 - art. 58 (VT)", "@sens": "cible", "@cidtexte": "JORFTEXT000027385232", "@nortexte": "EFIT1304202A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2013-05-02" }, { "@id": "LEGIARTI000031193373", "@num": "1", "#text": "ARRÊTÉ du 3 novembre 2014 - art. 1 (M)", "@sens": "cible", "@cidtexte": "JORFTEXT000029701236", "@nortexte": "FCPT1423261A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2014-11-03" }, { "@id": "LEGIARTI000035531353", "@num": "1", "#text": "ARRÊTÉ du 19 décembre 2014 - art. 1 (VD)", "@sens": "cible", "@cidtexte": "JORFTEXT000029953892", "@nortexte": "FCPT1428239A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2014-12-19" }, { "@id": "LEGIARTI000032754205", "@num": "27", "#text": "Ordonnance n°2016-827 du 23 juin 2016 - art. 27 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000032752983", "@nortexte": "FCPT1604110R", "@numtexte": "2016-827", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2016-06-23" }, { "@id": "LEGIARTI000037147775", "#text": "Arrêté du 14 juin 2018 - art.", "@sens": "cible", "@cidtexte": "JORFTEXT000037146528", "@nortexte": "ECOT1816563A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2018-06-14" }, { "@id": "LEGITEXT000039664099", "#text": "Décret n°2019-1426 du 20 décembre 2019 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000039656689", "@nortexte": "LOGL1916393D", "@numtexte": "2019-1426", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2019-12-20" }, { "@id": "LEGIARTI000043222165", "@num": "1", "#text": "Arrêté du 25 février 2021 - art. 1 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000043220034", "@nortexte": "ECOT2100525A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2021-02-25" }, { "@id": "LEGIARTI000045359423", "#text": "Arrêté du 9 mars 2022 - art.", "@sens": "cible", "@cidtexte": "JORFTEXT000045358502", "@nortexte": "ECOT2206201A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2022-03-09" }, { "@id": "LEGIARTI000046112301", "@num": "1", "#text": "Décision n°752 du 13 avril 2022 - art. 1 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000045593640", "@nortexte": "AMFP2211755S", "@numtexte": "752", "@typelien": "CITATION", "@naturetexte": "DECISION", "@datesignatexte": "2022-04-13" }, { "@id": "LEGIARTI000046154964", "@num": "4", "#text": "Arrêté du 5 août 2022 - art. 4 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000046150481", "@nortexte": "ECOT2222069A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2022-08-05" }, { "@id": "LEGIARTI000048179403", "@num": "1", "#text": "Décret n°2023-931 du 9 octobre 2023 - art. 1", "@sens": "cible", "@cidtexte": "JORFTEXT000048178349", "@nortexte": "ECOI2310697D", "@numtexte": "2023-931", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2023-10-09" }, { "@id": "LEGIARTI000049332367", "@num": "1", "#text": "Arrêté du 18 mars 2024 - art. 1 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000049330539", "@nortexte": "ECOT2405643A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2024-03-18" }, { "@id": "LEGIARTI000039260236", "@num": "L225-145", "#text": "Code de commerce - art. L225-145 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000005634379", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000048180184", "@num": "D412-50", "#text": "Code de la consommation - art. D412-50 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006069565", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000022441302", "@num": "L121-20-12", "#text": "Code de la consommation - art. L121-20-12 (T)", "@sens": "cible", "@cidtexte": "LEGITEXT000006069565", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000028747592", "@num": "L121-29", "#text": "Code de la consommation - art. L121-29 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006069565", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000020180548", "@num": "L135-10", "#text": "Code de la sécurité sociale. - art. L135-10 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006073189", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000038541918", "@num": "L385-7-1", "#text": "Code des assurances - art. L385-7-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006073984", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000039261863", "@num": "L331-4-1", "#text": "Code forestier (nouveau) - art. L331-4-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000025244092", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000049399676", "@num": "199 novovicies", "#text": "Code général des impôts, CGI. - art. 199 novovicies (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006069577", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000046130184", "@num": "199 terdecies-0 A", "#text": "Code général des impôts, CGI. - art. 199 terdecies-0 A (M)", "@sens": "cible", "@cidtexte": "LEGITEXT000006069577", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000037989952", "@num": "235 ter ZD", "#text": "Code général des impôts, CGI. - art. 235 ter ZD (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006069577", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000047992502", "@num": "D321-1", "#text": "Code monétaire et financier - art. D321-1 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035530980", "@num": "D424-1", "#text": "Code monétaire et financier - art. D424-1 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035528441", "@num": "D425-3", "#text": "Code monétaire et financier - art. D425-3 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000038701254", "@num": "D532-40", "#text": "Code monétaire et financier - art. D532-40 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043801719", "@num": "D532-41", "#text": "Code monétaire et financier - art. D532-41 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000045129269", "@num": "D533-15", "#text": "Code monétaire et financier - art. D533-15 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043543865", "@num": "D533-16-1", "#text": "Code monétaire et financier - art. D533-16-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006646457", "@num": "L211-1", "#text": "Code monétaire et financier - art. L211-1 (M)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032255683", "@num": "L214-10-1", "#text": "Code monétaire et financier - art. L214-10-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035042532", "@num": "L214-13", "#text": "Code monétaire et financier - art. L214-13 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000049876730", "@num": "L214-162-4", "#text": "Code monétaire et financier - art. L214-162-4 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000049876707", "@num": "L214-190-1", "#text": "Code monétaire et financier - art. L214-190-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000027764603", "@num": "L214-24-46", "#text": "Code monétaire et financier - art. L214-24-46 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000038818775", "@num": "L224-32", "#text": "Code monétaire et financier - art. L224-32 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050371040", "@num": "L311-2", "#text": "Code monétaire et financier - art. L311-2 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000042604647", "@num": "L312-4", "#text": "Code monétaire et financier - art. L312-4 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006652180", "@num": "L321-3", "#text": "Code monétaire et financier - art. L321-3 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043197147", "@num": "L321-4", "#text": "Code monétaire et financier - art. L321-4 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035042558", "@num": "L322-1", "#text": "Code monétaire et financier - art. L322-1 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000031094503", "@num": "L322-5", "#text": "Code monétaire et financier - art. L322-5 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050372371", "@num": "L341-1", "#text": "Code monétaire et financier - art. L341-1 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050372625", "@num": "L341-16", "#text": "Code monétaire et financier - art. L341-16 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050372813", "@num": "L353-1", "#text": "Code monétaire et financier - art. L353-1 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032754447", "@num": "L420-1", "#text": "Code monétaire et financier - art. L420-1 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006652356", "@num": "L421-8", "#text": "Code monétaire et financier - art. L421-8 (M)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035042628", "@num": "L424-1", "#text": "Code monétaire et financier - art. L424-1 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035042602", "@num": "L425-1", "#text": "Code monétaire et financier - art. L425-1 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050369801", "@num": "L511-10", "#text": "Code monétaire et financier - art. L511-10 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000039360508", "@num": "L511-4-3", "#text": "Code monétaire et financier - art. 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R532-6 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000006154448", "@fin": "2018-01-03", "#text": "Chapitre Ier : Dispositions générales", "@debut": "2001-01-01" }, { "@id": "LEGISCTA000032786010", "@fin": "2999-01-01", "#text": "Chapitre Ier : Les services d'investissement et leurs services connexes", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006139972", "@fin": "2018-01-03", "#text": "Titre II : Les services d'investissement et leurs services connexes", "@debut": "2001-01-01" }, { "@id": "LEGISCTA000032786012", "@fin": "2022-01-01", "#text": "Titre II : Les services d'investissement, les services connexes aux services d'investissement et les services de communication de données", "@debut": "2018-01-03" }, { "@id": "LEGISCTA000044192594", "@fin": "2999-01-01", "#text": "Titre II : Les services d'investissement et les services connexes aux services d'investissement", "@debut": "2022-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006123907", "@fin": "2999-01-01", "#text": "Livre III : Les services", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006101336", "@fin": "2999-01-01", "#text": "Partie législative", "@debut": "2001-01-01" } ] }, "@cid": "LEGITEXT000006072026", "@nature": "CODE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Code monétaire et financier", "@debut": "2001-01-01", "@id_txt": "LEGITEXT000006072026", "@c_titre_court": "Code monétaire et financier" } ], "@date_publi": "2999-01-01", "@date_signature": "2999-01-01" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006652173", "@fin": "2007-11-01", "@num": "L321-1", "@etat": "MODIFIE", "@debut": "2001-01-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006652174", "@fin": "2018-01-03", "@num": "L321-1", "@etat": "MODIFIE", "@debut": "2007-11-01", "@origine": "LEGI" } }, { "@etat": "VIGUEUR", "LIEN_ART": { "@id": "LEGIARTI000032786002", "@fin": "2999-01-01", "@num": "L321-1", "@etat": "VIGUEUR", "@debut": "2018-01-03", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "
Les services d'investissement portent sur les instruments financiers énumérés à l'article L. 211-1 et comprennent :
\n
1. La réception et la transmission d'ordres pour le compte de tiers ;
\n
2. L'exécution d'ordres pour le compte de tiers ;
\n
3. La négociation pour compte propre ;
\n
4. La gestion de portefeuille pour le compte de tiers ;
\n
5. La prise ferme ;
\n
6. Le placement.
\n
Les services rendus à l'Etat et à la Banque de France, dans le cadre des politiques de gestion de la monnaie, des taux de change, de la dette publique et des réserves de l'Etat ne sont pas soumis aux dispositions du présent code applicables aux services d'investissement mentionnés au présent article.
" } }, "LEGIARTI000006652174": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L321-1", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2018-01-03", "DATE_DEBUT": "2007-11-01" } }, "META_COMMUN": { "ID": "LEGIARTI000006652174", "URL": "article/LEGI/ARTI/00/00/06/65/21/LEGIARTI000006652174.xml", "NATURE": "Article", "ORIGINE": "LEGI", "ANCIEN_ID": "AELXXXXXXXX321L001AXXXAB" } }, "LIENS": { "LIEN": [ { "@id": "LEGIARTI000006328302", "@num": "10", "#text": "Décret n°89-623 du 6 septembre 1989 - art. 10 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000332976", "@nortexte": "ECOT8920101D", "@numtexte": "89-623", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "1989-09-06" }, { "@id": "LEGIARTI000006709157", "@num": "4", "#text": "Loi n°96-597 du 2 juillet 1996 - art. 4 (Ab)", "@sens": "source", "@cidtexte": "JORFTEXT000000193847", "@nortexte": "ECOX9500164L", "@numtexte": "96-597", "@typelien": "CONCORDANCE", "@naturetexte": "LOI", "@datesignatexte": "1996-07-02" }, { "@id": "LEGIARTI000006709157", "@num": "4", "#text": "Loi n°96-597 du 2 juillet 1996 - art. 4 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000193847", "@nortexte": "ECOX9500164L", "@numtexte": "96-597", "@typelien": "CONCORDE", "@naturetexte": "LOI", "@datesignatexte": "1996-07-02" }, { "@id": "LEGIARTI000006738385", "@num": "2", "#text": "Décret n°96-880 du 8 octobre 1996 - art. 2 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000378759", "@nortexte": "ECOT9620035D", "@numtexte": "96-880", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "1996-10-08" }, { "@id": "LEGIARTI000006738416", "@num": "3", "#text": "Décret n°96-880 du 8 octobre 1996 - art. 3 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000378759", "@nortexte": "ECOT9620035D", "@numtexte": "96-880", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "1996-10-08" }, { "@id": "LEGIARTI000006738450", "@num": "5", "#text": "Décret n°96-880 du 8 octobre 1996 - art. 5 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000378759", "@nortexte": "ECOT9620035D", "@numtexte": "96-880", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "1996-10-08" }, { "@id": "LEGIARTI000006738525", "@num": "6", "#text": "Décret n°96-880 du 8 octobre 1996 - art. 6 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000378759", "@nortexte": "ECOT9620035D", "@numtexte": "96-880", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "1996-10-08" }, { "@id": "LEGIARTI000006738537", "@num": "7", "#text": "Décret n°96-880 du 8 octobre 1996 - art. 7 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000378759", "@nortexte": "ECOT9620035D", "@numtexte": "96-880", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "1996-10-08" }, { "@id": "LEGITEXT000005630278", "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@nortexte": "ECOX0000098R", "@numtexte": "2000-1223", "@typelien": "CODIFICATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2000-12-14" }, { "@id": "LEGIARTI000047751460", "@num": "29", "#text": "Décret n°2004-569 du 18 juin 2004 - art. 29 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000803653", "@nortexte": "FPPA0400063D", "@numtexte": "2004-569", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-06-18" }, { "@id": "LEGIARTI000037148224", "@num": "312-43", "#text": "Arrêté du 12 novembre 2004 - art. 312-43 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036892727", "@num": "312-8", "#text": "Arrêté du 12 novembre 2004 - art. 312-8 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000025923276", "@num": "313-53-2", "#text": "Arrêté du 12 novembre 2004 - art. 313-53-2 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000028421804", "@num": "314-79", "#text": "Arrêté du 12 novembre 2004 - art. 314-79 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000025918590", "@num": "315-50", "#text": "Arrêté du 12 novembre 2004 - art. 315-50 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036893784", "@num": "315-6", "#text": "Arrêté du 12 novembre 2004 - art. 315-6 (M)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036893775", "@num": "315-7", "#text": "Arrêté du 12 novembre 2004 - art. 315-7 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000046581496", "@num": "315-9", "#text": "Arrêté du 12 novembre 2004 - art. 315-9 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000045813025", "@num": "319-14", "#text": "Arrêté du 12 novembre 2004 - art. 319-14 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000046581491", "@num": "319-27", "#text": "Arrêté du 12 novembre 2004 - art. 319-27 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000046581486", "@num": "320-25", "#text": "Arrêté du 12 novembre 2004 - art. 320-25 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000046581481", "@num": "321-135", "#text": "Arrêté du 12 novembre 2004 - art. 321-135 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000046581476", "@num": "321-152", "#text": "Arrêté du 12 novembre 2004 - art. 321-152 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000028050491", "@num": "521-2", "#text": "Arrêté du 12 novembre 2004 - art. 521-2 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000044073440", "@num": "8", "#text": "Ordonnance n° 2006-344 du 23 mars 2006 - art. 8 (VD)", "@sens": "cible", "@cidtexte": "JORFTEXT000000456741", "@nortexte": "ECOX0600006R", "@numtexte": "2006-344", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2006-03-23" }, { "@id": "LEGIARTI000006262615", "@num": "2", "#text": "Ordonnance n°2007-544 du 12 avril 2007 - art. 2 () JORF 13 avril 2007 en vigueur le 1er novembre 2007", "@sens": "source", "@cidtexte": "JORFTEXT000000649479", "@nortexte": "ECOX0700039R", "@numtexte": "2007-544", "@typelien": "MODIFICATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2007-04-12" }, { "@id": "LEGIARTI000006262620", "@num": "6", "#text": "Ordonnance n° 2007-544 du 12 avril 2007 - art. 6 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000649479", "@nortexte": "ECOX0700039R", "@numtexte": "2007-544", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2007-04-12" }, { "@id": "LEGIARTI000043865856", "@num": "1", "#text": "Arrêté du 5 septembre 2007 - art. 1 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000247728", "@nortexte": "ECET0761510A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2007-09-05" }, { "@id": "LEGIARTI000027393230", "@num": "58", "#text": "Arrêté du 2 mai 2013 - art. 58 (VT)", "@sens": "cible", "@cidtexte": "JORFTEXT000027385232", "@nortexte": "EFIT1304202A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2013-05-02" }, { "@id": "LEGIARTI000031193373", "@num": "1", "#text": "ARRÊTÉ du 3 novembre 2014 - art. 1 (M)", "@sens": "cible", "@cidtexte": "JORFTEXT000029701236", "@nortexte": "FCPT1423261A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2014-11-03" }, { "@id": "LEGIARTI000035531353", "@num": "1", "#text": "ARRÊTÉ du 19 décembre 2014 - art. 1 (VD)", "@sens": "cible", "@cidtexte": "JORFTEXT000029953892", "@nortexte": "FCPT1428239A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2014-12-19" }, { "@id": "LEGIARTI000032754205", "@num": "27", "#text": "Ordonnance n°2016-827 du 23 juin 2016 - art. 27 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000032752983", "@nortexte": "FCPT1604110R", "@numtexte": "2016-827", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2016-06-23" }, { "@id": "LEGIARTI000037147775", "#text": "Arrêté du 14 juin 2018 - art.", "@sens": "cible", "@cidtexte": "JORFTEXT000037146528", "@nortexte": "ECOT1816563A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2018-06-14" }, { "@id": "LEGITEXT000039664099", "#text": "Décret n°2019-1426 du 20 décembre 2019 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000039656689", "@nortexte": "LOGL1916393D", "@numtexte": "2019-1426", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2019-12-20" }, { "@id": "LEGIARTI000043222165", "@num": "1", "#text": "Arrêté du 25 février 2021 - art. 1 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000043220034", "@nortexte": "ECOT2100525A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2021-02-25" }, { "@id": "LEGIARTI000045359423", "#text": "Arrêté du 9 mars 2022 - art.", "@sens": "cible", "@cidtexte": "JORFTEXT000045358502", "@nortexte": "ECOT2206201A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2022-03-09" }, { "@id": "LEGIARTI000046112301", "@num": "1", "#text": "Décision n°752 du 13 avril 2022 - art. 1 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000045593640", "@nortexte": "AMFP2211755S", "@numtexte": "752", "@typelien": "CITATION", "@naturetexte": "DECISION", "@datesignatexte": "2022-04-13" }, { "@id": "LEGIARTI000046154964", "@num": "4", "#text": "Arrêté du 5 août 2022 - art. 4 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000046150481", "@nortexte": "ECOT2222069A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2022-08-05" }, { "@id": "LEGIARTI000048179403", "@num": "1", "#text": "Décret n°2023-931 du 9 octobre 2023 - art. 1", "@sens": "cible", "@cidtexte": "JORFTEXT000048178349", "@nortexte": "ECOI2310697D", "@numtexte": "2023-931", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2023-10-09" }, { "@id": "LEGIARTI000049332367", "@num": "1", "#text": "Arrêté du 18 mars 2024 - art. 1 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000049330539", "@nortexte": "ECOT2405643A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2024-03-18" }, { "@id": "LEGIARTI000039260236", "@num": "L225-145", "#text": "Code de commerce - art. L225-145 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000005634379", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000048180184", "@num": "D412-50", "#text": "Code de la consommation - art. D412-50 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006069565", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000022441302", "@num": "L121-20-12", "#text": "Code de la consommation - art. L121-20-12 (T)", "@sens": "cible", "@cidtexte": "LEGITEXT000006069565", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000028747592", "@num": "L121-29", "#text": "Code de la consommation - art. L121-29 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006069565", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000020180548", "@num": "L135-10", "#text": "Code de la sécurité sociale. - art. L135-10 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006073189", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000038541918", "@num": "L385-7-1", "#text": "Code des assurances - art. L385-7-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006073984", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000039261863", "@num": "L331-4-1", "#text": "Code forestier (nouveau) - art. L331-4-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000025244092", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000049399676", "@num": "199 novovicies", "#text": "Code général des impôts, CGI. - art. 199 novovicies (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006069577", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000046130184", "@num": "199 terdecies-0 A", "#text": "Code général des impôts, CGI. - art. 199 terdecies-0 A (M)", "@sens": "cible", "@cidtexte": "LEGITEXT000006069577", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000037989952", "@num": "235 ter ZD", "#text": "Code général des impôts, CGI. - art. 235 ter ZD (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006069577", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000047992502", "@num": "D321-1", "#text": "Code monétaire et financier - art. 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L621-24 (M)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006660510", "@num": "L621-25", "#text": "Code monétaire et financier - art. L621-25 (M)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006660522", "@num": "L621-26", "#text": "Code monétaire et financier - art. L621-26 (Ab)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000045959121", "@num": "L621-5-3", "#text": "Code monétaire et financier - art. L621-5-3 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050372905", "@num": "L621-7", "#text": "Code monétaire et financier - art. L621-7 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050371830", "@num": "L621-9", "#text": "Code monétaire et financier - art. L621-9 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006660750", "@num": "L622-9", "#text": "Code monétaire et financier - art. L622-9 (Ab)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006660946", "@num": "L623-1", "#text": "Code monétaire et financier - art. L623-1 (Ab)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006660961", "@num": "L623-2", "#text": "Code monétaire et financier - art. L623-2 (Ab)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000036603452", "@num": "L743-8", "#text": "Code monétaire et financier - art. L743-8 (M)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000045235819", "@num": "L752-13", "#text": "Code monétaire et financier - art. L752-13 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000045235915", "@num": "L753-13", "#text": "Code monétaire et financier - art. L753-13 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000036603491", "@num": "L753-8", "#text": "Code monétaire et financier - art. L753-8 (M)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000045236007", "@num": "L754-12", "#text": "Code monétaire et financier - art. L754-12 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000036603531", "@num": "L763-8", "#text": "Code monétaire et financier - art. L763-8 (M)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000027798494", "@num": "R214-43", "#text": "Code monétaire et financier - art. R214-43 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006681037", "@num": "R214-46", "#text": "Code monétaire et financier - art. R214-46 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000027798416", "@num": "R214-56", "#text": "Code monétaire et financier - art. R214-56 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006681395", "@num": "R214-68", "#text": "Code monétaire et financier - art. R214-68 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000027798320", "@num": "R214-74", "#text": "Code monétaire et financier - art. R214-74 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006681565", "@num": "R214-84", "#text": "Code monétaire et financier - art. R214-84 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000039339407", "@num": "R312-18", "#text": "Code monétaire et financier - art. R312-18 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000028325578", "@num": "R312-7", "#text": "Code monétaire et financier - art. R312-7 (T)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000031116444", "@num": "R321-3", "#text": "Code monétaire et financier - art. R321-3 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000030636690", "@num": "R532-22", "#text": "Code monétaire et financier - art. R532-22 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000030636699", "@num": "R532-23", "#text": "Code monétaire et financier - art. R532-23 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000027874810", "@num": "R532-3", "#text": "Code monétaire et financier - art. R532-3 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000029723503", "@num": "R532-4", "#text": "Code monétaire et financier - art. R532-4 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000029723498", "@num": "R532-5", "#text": "Code monétaire et financier - art. R532-5 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000027874843", "@num": "R532-6", "#text": "Code monétaire et financier - art. R532-6 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000006154448", "@fin": "2018-01-03", "#text": "Chapitre Ier : Dispositions générales", "@debut": "2001-01-01" }, { "@id": "LEGISCTA000032786010", "@fin": "2999-01-01", "#text": "Chapitre Ier : Les services d'investissement et leurs services connexes", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006139972", "@fin": "2018-01-03", "#text": "Titre II : Les services d'investissement et leurs services connexes", "@debut": "2001-01-01" }, { "@id": "LEGISCTA000032786012", "@fin": "2022-01-01", "#text": "Titre II : Les services d'investissement, les services connexes aux services d'investissement et les services de communication de données", "@debut": "2018-01-03" }, { "@id": "LEGISCTA000044192594", "@fin": "2999-01-01", "#text": "Titre II : Les services d'investissement et les services connexes aux services d'investissement", "@debut": "2022-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006123907", "@fin": "2999-01-01", "#text": "Livre III : Les services", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006101336", "@fin": "2999-01-01", "#text": "Partie législative", "@debut": "2001-01-01" } ] }, "@cid": "LEGITEXT000006072026", "@nature": "CODE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Code monétaire et financier", "@debut": "2001-01-01", "@id_txt": "LEGITEXT000006072026", "@c_titre_court": "Code monétaire et financier" } ], "@date_publi": "2999-01-01", "@date_signature": "2999-01-01" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006652173", "@fin": "2007-11-01", "@num": "L321-1", "@etat": "MODIFIE", "@debut": "2001-01-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006652174", "@fin": "2018-01-03", "@num": "L321-1", "@etat": "MODIFIE", "@debut": "2007-11-01", "@origine": "LEGI" } }, { "@etat": "VIGUEUR", "LIEN_ART": { "@id": "LEGIARTI000032786002", "@fin": "2999-01-01", "@num": "L321-1", "@etat": "VIGUEUR", "@debut": "2018-01-03", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "
Les services d'investissement portent sur les instruments financiers énumérés à l'article L. 211-1 et comprennent les services et activités suivants :
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1. La réception et la transmission d'ordres pour le compte de tiers ;
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2.L'exécution d'ordres pour le compte de tiers ;
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3. La négociation pour compte propre ;
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4. La gestion de portefeuille pour le compte de tiers ;
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5. Le conseil en investissement ;
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6-1. La prise ferme ;
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6-2. Le placement garanti ;
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7. Le placement non garanti ;
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8.L'exploitation d'un système multilatéral de négociation au sens de l'article L. 424-1.
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Un décret précise la définition de ces services.
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Les services rendus à l'Etat et à la Banque de France, dans le cadre des politiques de gestion de la monnaie, des taux de change, de la dette publique et des réserves de l'Etat ne sont pas soumis aux dispositions du présent code applicables aux services d'investissement mentionnés au présent article.
" } }, "LEGIARTI000006657439": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L532-13", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2003-08-02", "DATE_DEBUT": "2001-01-01" } }, "META_COMMUN": { "ID": "LEGIARTI000006657439", "URL": "article/LEGI/ARTI/00/00/06/65/74/LEGIARTI000006657439.xml", "NATURE": "Article", "ORIGINE": "LEGI", "ANCIEN_ID": "AELXXXXXXXX532L013AXXXAA" } }, "LIENS": { "LIEN": [ { "@id": "JORFTEXT000000193847", "#text": "Loi 96-597 1996-07-02 art. 19 III", "@sens": "source", "@cidtexte": "JORFTEXT000000193847", "@nortexte": "ECOX9500164L", "@numtexte": "96-597", "@typelien": "CONCORDANCE", "@naturetexte": "LOI", "@datesignatexte": "1996-07-02" }, { "@id": "LEGIARTI000006709321", "@num": "19", "#text": "Loi n°96-597 du 2 juillet 1996 - art. 19 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000193847", "@nortexte": "ECOX9500164L", "@numtexte": "96-597", "@typelien": "CONCORDE", "@naturetexte": "LOI", "@datesignatexte": "1996-07-02" }, { "@id": "LEGITEXT000005630278", "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@nortexte": "ECOX0000098R", "@numtexte": "2000-1223", "@typelien": "CODIFICATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2000-12-14" }, { "@id": "LEGIARTI000006719099", "@num": "9", "#text": "Ordonnance n°2007-1490 du 18 octobre 2007 - art. 9 (VD)", "@sens": "cible", "@cidtexte": "JORFTEXT000000429028", "@nortexte": "ECET0761449R", "@numtexte": "2007-1490", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2007-10-18" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10 (M)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657871", "@num": "L533-13", "#text": "Code monétaire et financier - art. L533-13 (M)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006660480", "@num": "L621-22", "#text": "Code monétaire et financier - art. L621-22 (M)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006660255", "@num": "L621-7", "#text": "Code monétaire et financier - art. L621-7 (M)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000047849727", "@num": "L773-29", "#text": "Code monétaire et financier - art. L773-29 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000047849646", "@num": "L774-29", "#text": "Code monétaire et financier - art. L774-29 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000047849567", "@num": "L775-23", "#text": "Code monétaire et financier - art. L775-23 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGITEXT000006072026", "#text": "Code monétaire et financier L532-10 à L532-12, L533-10, L533-13, L621-7, L621-22, L621-24 à L621-27", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000006193997", "@fin": "2999-01-01", "#text": "Paragraphe 2 : Retrait d'agrément et radiation", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006184911", "@fin": "2999-01-01", "#text": "Sous-section 3 : Dispositions relatives aux sociétés de gestion de portefeuille", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006170641", "@fin": "2018-01-03", "#text": "Section 1 : Agrément", "@debut": "2001-01-01" }, { "@id": "LEGISCTA000035042976", "@fin": "2999-01-01", "#text": "Section 1 : Agrément des prestataires de services d'investissement", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006154696", "@fin": "2999-01-01", "#text": "Chapitre II : Conditions d'exercice de la profession", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006140119", "@fin": "2999-01-01", "#text": "Titre III : Les prestataires de services d'investissement", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006123943", "@fin": "2999-01-01", "#text": "Livre V : Les prestataires de services", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006101336", "@fin": "2999-01-01", "#text": "Partie législative", "@debut": "2001-01-01" } ] }, "@cid": "LEGITEXT000006072026", "@nature": "CODE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Code monétaire et financier", "@debut": "2001-01-01", "@id_txt": "LEGITEXT000006072026", "@c_titre_court": "Code monétaire et financier" } ], "@date_publi": "2999-01-01", "@date_signature": "2999-01-01" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006657439", "@fin": "2003-08-02", "@num": "L532-13", "@etat": "MODIFIE", "@debut": "2001-01-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006657440", "@fin": "2007-11-01", "@num": "L532-13", "@etat": "MODIFIE", "@debut": "2003-08-02", "@origine": "LEGI" } }, { "@etat": "VIGUEUR", "LIEN_ART": { "@id": "LEGIARTI000006657441", "@fin": "2999-01-01", "@num": "L532-13", "@etat": "VIGUEUR", "@debut": "2007-11-01", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "
La Commission des opérations de bourse précise les conditions d'application des articles L. 532-10 à L. 532-12. Elle fixe notamment les modalités selon lesquelles les décisions de retrait d'agrément ou de radiation sont portées à la connaissance du public.
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Les sociétés de gestion de portefeuille exercent leur activité dans les conditions fixées notamment par les articles L. 533-10 et L. 533-13.
\n
Le contrôle de ces sociétés est assuré dans les conditions prévues aux articles L. 621-7 et L. 621-22.
\n
Lorsqu'une société de gestion de portefeuille a manqué à ses obligations professionnelles définies par les lois et règlements dont elle relève, elle est passible des mesures et sanctions disciplinaires prévues par les articles L. 621-24 à L. 621-27.
" } }, "LEGIARTI000006657440": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L532-13", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2007-11-01", "DATE_DEBUT": "2003-08-02" } }, "META_COMMUN": { "ID": "LEGIARTI000006657440", "URL": "article/LEGI/ARTI/00/00/06/65/74/LEGIARTI000006657440.xml", "NATURE": "Article", "ORIGINE": "LEGI", "ANCIEN_ID": "AELXXXXXXXX532L013AXXXAB" } }, "LIENS": { "LIEN": [ { "@id": "JORFTEXT000000193847", "#text": "Loi 96-597 1996-07-02 art. 19 III", "@sens": "source", "@cidtexte": "JORFTEXT000000193847", "@nortexte": "ECOX9500164L", "@numtexte": "96-597", "@typelien": "CONCORDANCE", "@naturetexte": "LOI", "@datesignatexte": "1996-07-02" }, { "@id": "LEGIARTI000006709321", "@num": "19", "#text": "Loi n°96-597 du 2 juillet 1996 - art. 19 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000193847", "@nortexte": "ECOX9500164L", "@numtexte": "96-597", "@typelien": "CONCORDE", "@naturetexte": "LOI", "@datesignatexte": "1996-07-02" }, { "@id": "LEGITEXT000005630278", "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@nortexte": "ECOX0000098R", "@numtexte": "2000-1223", "@typelien": "CODIFICATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2000-12-14" }, { "@id": "JORFTEXT000000428977", "#text": "Loi 2003-706 2003-08-01 art. 46 III 17°, V 1° JORF 2 août 2003", "@sens": "source", "@cidtexte": "JORFTEXT000000428977", "@nortexte": "ECOX0200186L", "@numtexte": "2003-706", "@typelien": "MODIFICATION", "@naturetexte": "LOI", "@datesignatexte": "2003-08-01" }, { "@id": "LEGIARTI000006713404", "@num": "46", "#text": "Loi n°2003-706 du 1 août 2003 - art. 46 (V) JORF 2 août 2003", "@sens": "source", "@cidtexte": "JORFTEXT000000428977", "@nortexte": "ECOX0200186L", "@numtexte": "2003-706", "@typelien": "MODIFICATION", "@naturetexte": "LOI", "@datesignatexte": "2003-08-01" }, { "@id": "LEGIARTI000006719099", "@num": "9", "#text": "Ordonnance n°2007-1490 du 18 octobre 2007 - art. 9 (VD)", "@sens": "cible", "@cidtexte": "JORFTEXT000000429028", "@nortexte": "ECET0761449R", "@numtexte": "2007-1490", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2007-10-18" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10 (M)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657871", "@num": "L533-13", "#text": "Code monétaire et financier - art. L533-13 (M)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000047849727", "@num": "L773-29", "#text": "Code monétaire et financier - art. L773-29 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000047849646", "@num": "L774-29", "#text": "Code monétaire et financier - art. L774-29 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000047849567", "@num": "L775-23", "#text": "Code monétaire et financier - art. L775-23 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGITEXT000006072026", "#text": "Code monétaire et financier L532-10 à L532-12, L533-10, L533-13", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000006193997", "@fin": "2999-01-01", "#text": "Paragraphe 2 : Retrait d'agrément et radiation", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006184911", "@fin": "2999-01-01", "#text": "Sous-section 3 : Dispositions relatives aux sociétés de gestion de portefeuille", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006170641", "@fin": "2018-01-03", "#text": "Section 1 : Agrément", "@debut": "2001-01-01" }, { "@id": "LEGISCTA000035042976", "@fin": "2999-01-01", "#text": "Section 1 : Agrément des prestataires de services d'investissement", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006154696", "@fin": "2999-01-01", "#text": "Chapitre II : Conditions d'exercice de la profession", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006140119", "@fin": "2999-01-01", "#text": "Titre III : Les prestataires de services d'investissement", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006123943", "@fin": "2999-01-01", "#text": "Livre V : Les prestataires de services", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006101336", "@fin": "2999-01-01", "#text": "Partie législative", "@debut": "2001-01-01" } ] }, "@cid": "LEGITEXT000006072026", "@nature": "CODE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Code monétaire et financier", "@debut": "2001-01-01", "@id_txt": "LEGITEXT000006072026", "@c_titre_court": "Code monétaire et financier" } ], "@date_publi": "2999-01-01", "@date_signature": "2999-01-01" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006657439", "@fin": "2003-08-02", "@num": "L532-13", "@etat": "MODIFIE", "@debut": "2001-01-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006657440", "@fin": "2007-11-01", "@num": "L532-13", "@etat": "MODIFIE", "@debut": "2003-08-02", "@origine": "LEGI" } }, { "@etat": "VIGUEUR", "LIEN_ART": { "@id": "LEGIARTI000006657441", "@fin": "2999-01-01", "@num": "L532-13", "@etat": "VIGUEUR", "@debut": "2007-11-01", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "
L'Autorité des marchés financiers précise les conditions d'application des articles L. 532-10 à L. 532-12. Elle fixe notamment les modalités selon lesquelles les décisions de retrait d'agrément ou de radiation sont portées à la connaissance du public.
\n
Les sociétés de gestion de portefeuille exercent leur activité dans les conditions fixées notamment par les articles L. 533-10 et L. 533-13.
" } }, "LEGIARTI000006657872": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L533-13", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2018-01-03", "DATE_DEBUT": "2007-11-01" } }, "META_COMMUN": { "ID": "LEGIARTI000006657872", "URL": "article/LEGI/ARTI/00/00/06/65/78/LEGIARTI000006657872.xml", "NATURE": "Article", "ORIGINE": "LEGI", "ANCIEN_ID": "AELXXXXXXXX533L013AXXXAB" } }, "LIENS": { "LIEN": [ { "@id": "LEGIARTI000006709890", "@num": "61", "#text": "Loi n°96-597 du 2 juillet 1996 - art. 61 (M)", "@sens": "source", "@cidtexte": "JORFTEXT000000193847", "@nortexte": "ECOX9500164L", "@numtexte": "96-597", "@typelien": "CONCORDANCE", "@naturetexte": "LOI", "@datesignatexte": "1996-07-02" }, { "@id": "LEGITEXT000005630278", "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@nortexte": "ECOX0000098R", "@numtexte": "2000-1223", "@typelien": "CODIFICATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2000-12-14" }, { "@id": "LEGIARTI000025934270", "@num": "314-44", "#text": "Arrêté du 12 novembre 2004 - art. 314-44 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000025934287", "@num": "314-49", "#text": "Arrêté du 12 novembre 2004 - art. 314-49 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000025934296", "@num": "314-50", "#text": "Arrêté du 12 novembre 2004 - art. 314-50 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000025934320", "@num": "314-55", "#text": "Arrêté du 12 novembre 2004 - art. 314-55 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000025934330", "@num": "314-56", "#text": "Arrêté du 12 novembre 2004 - art. 314-56 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000028421834", "@num": "314-57", "#text": "Arrêté du 12 novembre 2004 - art. 314-57 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036893373", "@num": "314-8", "#text": "Arrêté du 12 novembre 2004 - art. 314-8 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000027988221", "@num": "412-113", "#text": "Arrêté du 12 novembre 2004 - art. 412-113 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000027988209", "@num": "412-45", "#text": "Arrêté du 12 novembre 2004 - art. 412-45 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000027988213", "@num": "412-56", "#text": "Arrêté du 12 novembre 2004 - art. 412-56 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000027988217", "@num": "412-76", "#text": "Arrêté du 12 novembre 2004 - art. 412-76 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036895882", "@num": "423-14", "#text": "Arrêté du 12 novembre 2004 - art. 423-14 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036895889", "@num": "423-2", "#text": "Arrêté du 12 novembre 2004 - art. 423-2 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036895870", "@num": "423-27-1", "#text": "Arrêté du 12 novembre 2004 - art. 423-27-1 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036895863", "@num": "423-49", "#text": "Arrêté du 12 novembre 2004 - art. 423-49 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000039454855", "@num": "425-19", "#text": "Arrêté du 12 novembre 2004 - art. 425-19 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000006262617", "@num": "4", "#text": "Ordonnance n°2007-544 du 12 avril 2007 - art. 4 () JORF 13 avril 2007 en vigueur le 1er novembre 2007", "@sens": "source", "@cidtexte": "JORFTEXT000000649479", "@nortexte": "ECOX0700039R", "@numtexte": "2007-544", "@typelien": "MODIFICATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2007-04-12" }, { "@id": "LEGIARTI000035014363", "@num": "8", "#text": "Ordonnance n°2017-1107 du 22 juin 2017 - art. 8", "@sens": "cible", "@cidtexte": "JORFTEXT000035013490", "@nortexte": "ECOT1706653R", "@numtexte": "2017-1107", "@typelien": "CONCORDE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2017-06-22" }, { "@id": "LEGIARTI000045129274", "@num": "D533-15-1", "#text": "Code monétaire et financier - art. D533-15-1 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657440", "@num": "L532-13", "#text": "Code monétaire et financier - art. L532-13 (M)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657524", "@num": "L532-18", "#text": "Code monétaire et financier - art. L532-18 (M)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657621", "@num": "L532-23", "#text": "Code monétaire et financier - art. L532-23 (MMN)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032786576", "@num": "L533-13-1", "#text": "Code monétaire et financier - art. L533-13-1 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006660847", "@num": "L622-20", "#text": "Code monétaire et financier - art. L622-20 (Ab)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000049461820", "@num": "L773-30", "#text": "Code monétaire et financier - art. L773-30 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000049461755", "@num": "L774-30", "#text": "Code monétaire et financier - art. L774-30 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000049461689", "@num": "L775-24", "#text": "Code monétaire et financier - art. L775-24 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000006184916", "@fin": "2018-01-03", "#text": "Sous-section 1 : Dispositions communes à tous les prestataires de services d'investissement", "@debut": "2007-11-01" }, { "@id": "LEGISCTA000035043107", "@fin": "2999-01-01", "#text": "Sous-section 1 : Dispositions communes aux prestataires de services d'investissement autres que les sociétés de gestion de portefeuille", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006170648", "@fin": "2999-01-01", "#text": "Section 5 : Règles de bonne conduite", "@debut": "2007-11-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006154697", "@fin": "2999-01-01", "#text": "Chapitre III : Obligations des prestataires de services d'investissement", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006140119", "@fin": "2999-01-01", "#text": "Titre III : Les prestataires de services d'investissement", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006123943", "@fin": "2999-01-01", "#text": "Livre V : Les prestataires de services", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006101336", "@fin": "2999-01-01", "#text": "Partie législative", "@debut": "2001-01-01" } ] }, "@cid": "LEGITEXT000006072026", "@nature": "CODE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Code monétaire et financier", "@debut": "2001-01-01", "@id_txt": "LEGITEXT000006072026", "@c_titre_court": "Code monétaire et financier" } ], "@date_publi": "2999-01-01", "@date_signature": "2999-01-01" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006657871", "@fin": "2007-11-01", "@num": "L533-13", "@etat": "MODIFIE", "@debut": "2001-01-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006657872", "@fin": "2018-01-03", "@num": "L533-13", "@etat": "MODIFIE", "@debut": "2007-11-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE_MORT_NE", "LIEN_ART": { "@id": "LEGIARTI000032786587", "@fin": "2017-06-28", "@num": "L533-13", "@etat": "MODIFIE_MORT_NE", "@debut": "2018-01-03", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000035043324", "@fin": "2022-02-28", "@num": "L533-13", "@etat": "MODIFIE", "@debut": "2018-01-03", "@origine": "LEGI" } }, { "@etat": "VIGUEUR", "LIEN_ART": { "@id": "LEGIARTI000044504989", "@fin": "2999-01-01", "@num": "L533-13", "@etat": "VIGUEUR", "@debut": "2022-02-28", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

I. – En vue de fournir le service de conseil en investissement ou celui de gestion de portefeuille pour le compte de tiers, les prestataires de services d'investissement s'enquièrent auprès de leurs clients, notamment leurs clients potentiels, de leurs connaissances et de leur expérience en matière d'investissement, ainsi que de leur situation financière et de leurs objectifs d'investissement, de manière à pouvoir leur recommander les instruments financiers adaptés ou gérer leur portefeuille de manière adaptée à leur situation.

Lorsque les clients, notamment les clients potentiels, ne communiquent pas les informations requises, les prestataires s'abstiennent de leur recommander des instruments financiers ou de leur fournir le service de gestion de portefeuille pour compte de tiers.

II. – En vue de fournir un service autre que le conseil en investissement ou la gestion de portefeuille pour le compte de tiers, les prestataires de services d'investissement demandent à leurs clients, notamment leurs clients potentiels, des informations sur leurs connaissances et leur expérience en matière d'investissement, pour être en mesure de déterminer si le service ou le produit proposés aux clients ou demandés par ceux-ci leur conviennent.

Lorsque les clients, notamment les clients potentiels, ne communiquent pas les informations nécessaires ou lorsque les prestataires estiment, sur la base des informations fournies, que le service ou l'instrument ne sont pas adaptés, les prestataires mettent en garde ces clients, préalablement à la fourniture du service dont il s'agit.

III. – Les prestataires de services d'investissement peuvent fournir le service de réception et transmission d'ordres pour le compte de tiers ou le service d'exécution d'ordres pour le compte de tiers sans appliquer les dispositions du II du présent article, sous les conditions suivantes :

1. Le service porte sur des instruments financiers non complexes, tels qu'ils sont définis dans le règlement général de l'Autorité des marchés financiers ;

2. Le service est fourni à l'initiative du client, notamment du client potentiel ;

3. Le prestataire a préalablement informé le client, notamment le client potentiel, de ce qu'il n'est pas tenu d'évaluer le caractère approprié du service ou de l'instrument financier ;

4. Le prestataire s'est conformé aux dispositions du 3 de l'article L. 533-10.\n

" } }, "LEGIARTI000006709947": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "64", "ETAT": "ABROGE", "TYPE": "AUTONOME", "DATE_FIN": "2001-01-01", "DATE_DEBUT": "1996-07-04" } }, "META_COMMUN": { "ID": "LEGIARTI000006709947", "URL": "article/LEGI/ARTI/00/00/06/70/99/LEGIARTI000006709947.xml", "NATURE": "Article", "ORIGINE": "LEGI", "ANCIEN_ID": "AFECAXXXXXX064AAXXXXXXAA" } }, "LIENS": { "LIEN": [ { "@id": "JORFTEXT000000193847", "#text": "Loi 96-597 1996-07-02 art. 10 *champ d'application territoriale - TOM - Mayotte - modalités*", "@sens": "source", "@cidtexte": "JORFTEXT000000193847", "@nortexte": "ECOX9500164L", "@numtexte": "96-597", "@typelien": "SPEC_APPLI", "@naturetexte": "LOI", "@datesignatexte": "1996-07-02" }, { "@id": "LEGIARTI000006709157", "@num": "4", "#text": "Loi n°96-597 du 2 juillet 1996 - art. 4 (Ab)", "@sens": "source", "@cidtexte": "JORFTEXT000000193847", "@nortexte": "ECOX9500164L", "@numtexte": "96-597", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "1996-07-02" }, { "@id": "JORFTEXT000000574488", "#text": "Ordonnance 2000-1223 2000-12-14 art. 4 JORF 16 décembre 2000 en vigueur le 1er janvier 2001", "@sens": "source", "@cidtexte": "JORFTEXT000000574488", "@nortexte": "ECOX0000098R", "@typelien": "ABROGATION", "@naturetexte": "RAPPORT", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10 (M)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CONCORDE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657822", "@num": "L533-11", "#text": "Code monétaire et financier - art. L533-11 (M)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CONCORDE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000006140945", "@fin": "2001-01-01", "#text": "Section 3 : Règles de bonne conduite.", "@debut": "1996-07-04" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006125849", "@fin": "2001-01-01", "#text": "Chapitre Ier : Obligations des prestataires de services d'investissement", "@debut": "1996-07-04" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006104372", "@fin": "2999-01-01", "#text": "Titre III : Les obligations et le contrôle des prestataires de services d'investissement", "@debut": "1996-07-04" } ] }, "@cid": "JORFTEXT000000193847", "@nor": "ECOX9500164L", "@num": "96-597", "@nature": "LOI", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "LOI no 96-597 du 2 juillet 1996 de modernisation des activités financières (1)", "@debut": "2999-01-01", "@id_txt": "JORFTEXT000000193847", "@c_titre_court": "Loi n°96-597 du 2 juillet 1996" }, { "@fin": "2999-01-01", "#text": "Loi n° 96-597 du 2 juillet 1996 de modernisation des activités financières", "@debut": "1996-07-04", "@id_txt": "LEGITEXT000005621300", "@c_titre_court": "Loi n° 96-597 du 2 juillet 1996" } ], "@date_publi": "1996-07-04", "@date_signature": "1996-07-02" } }, "VERSIONS": { "VERSION": [ { "@etat": "ABROGE", "LIEN_ART": { "@id": "LEGIARTI000006709947", "@fin": "2001-01-01", "@num": "64", "@etat": "ABROGE", "@debut": "1996-07-04", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "
I. - Les prestataires de services d'investissement ne peuvent fournir le service défini au d de l'article 4 qu'en vertu d'une convention écrite.
\n
II. - Les actionnaires, sociétaires ou propriétaires d'une entreprise ou d'un établissement prestataire de services d'investissement habilité à gérer des instruments financiers pour le compte de tiers doivent s'abstenir de toute initiative qui aurait pour objet ou pour effet de privilégier leurs intérêts propres au détriment des intérêts des investisseurs qui sont les clients de l'entreprise.
\n
Les dirigeants des entreprises et établissements mentionnés à l'alinéa précédent doivent, dans l'exercice de leur activité de gestion pour le compte de tiers, conserver leur autonomie de décision afin de faire prévaloir dans tous les cas l'intérêt de leurs clients.
" } }, "LEGIARTI000019202572": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L532-18-1", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2009-01-10", "DATE_DEBUT": "2008-07-17" } }, "META_COMMUN": { "ID": "LEGIARTI000019202572", "URL": "article/LEGI/ARTI/00/00/19/20/25/LEGIARTI000019202572.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "LEGITEXT000005630278", "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@nortexte": "ECOX0000098R", "@numtexte": "2000-1223", "@typelien": "CODIFICATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2000-12-14" }, { "@id": "LEGIARTI000036892783", "@num": "311-1", "#text": "Arrêté du 12 novembre 2004 - art. 311-1 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000035174056", "@num": "313-78", "#text": "Arrêté du 12 novembre 2004 - art. 313-78 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000035174071", "@num": "313-78-1", "#text": "Arrêté du 12 novembre 2004 - art. 313-78-1 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000019200730", "@num": "1", "#text": "Ordonnance n° 2008-698\n du 11 juillet 2008 - art. 1", "@sens": "cible", "@cidtexte": "JORFTEXT000019198969", "@nortexte": "ECET0807614R", "@numtexte": "2008-698", "@typelien": "MODIFIE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2008-07-11" }, { "@id": "LEGIARTI000043056737", "@num": "272", "#text": "ARRÊTÉ du 3 novembre 2014 - art. 272 (VD)", "@sens": "cible", "@cidtexte": "JORFTEXT000029700770", "@nortexte": "FCPT1423259A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2014-11-03" }, { "@id": "LEGIARTI000043225353", "@num": "9", "#text": "ARRÊTÉ du 3 novembre 2014 - art. 9 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000029701550", "@nortexte": "FCPT1423266A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2014-11-03" }, { "@id": "LEGIARTI000035171880", "#text": "Arrêté du 3 juillet 2017 - art.", "@sens": "cible", "@cidtexte": "JORFTEXT000035168547", "@nortexte": "ECOT1719088A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2017-07-03" }, { "@id": "LEGIARTI000049332367", "@num": "1", "#text": "Arrêté du 18 mars 2024 - art. 1 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000049330539", "@nortexte": "ECOT2405643A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2024-03-18" }, { "@id": "LEGITEXT000006072026", "#text": "Code monétaire et financier", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006647574", "@num": "L213-3", "#text": "Code monétaire et financier - art. L213-3", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006653082", "@num": "L431-7", "#text": "Code monétaire et financier - art. L431-7", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006653613", "@num": "L432-20", "#text": "Code monétaire et financier - art. L432-20", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032786286", "@num": "L531-10", "#text": "Code monétaire et financier - art. L531-10 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032786415", "@num": "L532-18-2", "#text": "Code monétaire et financier - art. L532-18-2 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032786410", "@num": "L532-19", "#text": "Code monétaire et financier - art. L532-19 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032786404", "@num": "L532-20", "#text": "Code monétaire et financier - art. L532-20 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000042623846", "@num": "L532-20-1", "#text": "Code monétaire et financier - art. L532-20-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035042984", "@num": "L532-20-1-B", "#text": "Code monétaire et financier - art. L532-20-1-B (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032786382", "@num": "L532-21-1", "#text": "Code monétaire et financier - art. L532-21-1 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000038613966", "@num": "L532-21-3", "#text": "Code monétaire et financier - art. L532-21-3 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000021759239", "@num": "L532-26", "#text": "Code monétaire et financier - art. L532-26 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000048526883", "@num": "L561-2", "#text": "Code monétaire et financier - art. L561-2 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043707120", "@num": "L613-32", "#text": "Code monétaire et financier - art. L613-32 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043707171", "@num": "L613-32-1", "#text": "Code monétaire et financier - art. L613-32-1 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035043622", "@num": "L613-33-4", "#text": "Code monétaire et financier - art. L613-33-4 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006661277", "@num": "L621-18-1", "#text": "Code monétaire et financier - art. 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L774-42 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000045236895", "@num": "L775-36", "#text": "Code monétaire et financier - art. L775-36 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000021949222", "@num": "R532-17", "#text": "Code monétaire et financier - art. R532-17 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000027874889", "@num": "R532-18", "#text": "Code monétaire et financier - art. R532-18 (Ab)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043802850", "@num": "R613-37-1", "#text": "Code monétaire et financier - art. R613-37-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000006184914", "@fin": "2018-01-03", "#text": "Sous-section 2 : Libre prestation de services et liberté d'établissement en France", "@debut": "2001-01-01" }, { "@id": "LEGISCTA000035042856", "@fin": "2999-01-01", "#text": "Sous-section 2 : Libre établissement et libre prestation de services en France (Passeport entrant)", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006170642", "@fin": "2018-01-03", "#text": "Section 2 : Libre établissement et libre prestation de services sur le territoire des Etats parties à l'accord sur l'Espace économique européen", "@debut": "2001-01-01" }, { "@id": "LEGISCTA000032786469", "@fin": "2017-06-28", "#text": "Section 2 : Libre établissement et libre prestation de services sur le territoire des Etats membres de l'Union européenne ou parties à l'accord sur l'Espace économique européen", "@debut": "2018-01-03" }, { "@id": "LEGISCTA000035042858", "@fin": "2999-01-01", "#text": "Section 2 : Libre établissement et libre prestation de services sur le territoire des Etats membres de l'Union européenne ou parties à l'accord sur l'Espace économique européen (Passeports)", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006154696", "@fin": "2999-01-01", "#text": "Chapitre II : Conditions d'exercice de la profession", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006140119", "@fin": "2999-01-01", "#text": "Titre III : Les prestataires de services d'investissement", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006123943", "@fin": "2999-01-01", "#text": "Livre V : Les prestataires de services", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006101336", "@fin": "2999-01-01", "#text": "Partie législative", "@debut": "2001-01-01" } ] }, "@cid": "LEGITEXT000006072026", "@nature": "CODE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Code monétaire et financier", "@debut": "2001-01-01", "@id_txt": "LEGITEXT000006072026", "@c_titre_court": "Code monétaire et financier" } ], "@date_publi": "2999-01-01", "@date_signature": "2999-01-01" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE_MORT_NE", "LIEN_ART": { "@id": "LEGIARTI000006657534", "@fin": "2007-10-19", "@num": "L532-18-1", "@etat": "MODIFIE_MORT_NE", "@debut": "2007-11-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006657535", "@fin": "2008-07-17", "@num": "L532-18-1", "@etat": "MODIFIE", "@debut": "2007-11-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000019202572", "@fin": "2009-01-10", "@num": "L532-18-1", "@etat": "MODIFIE", "@debut": "2008-07-17", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000020096460", "@fin": "2012-01-01", "@num": "L532-18-1", "@etat": "MODIFIE", "@debut": "2009-01-10", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000025019244", "@fin": "2014-01-01", "@num": "L532-18-1", "@etat": "MODIFIE", "@debut": "2012-01-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000026992932", "@fin": "2018-01-03", "@num": "L532-18-1", "@etat": "MODIFIE", "@debut": "2014-01-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE_MORT_NE", "LIEN_ART": { "@id": "LEGIARTI000032751975", "@fin": "2016-06-25", "@num": "L532-18-1", "@etat": "MODIFIE_MORT_NE", "@debut": "2016-07-03", "@origine": "LEGI" } }, { "@etat": "VIGUEUR", "LIEN_ART": { "@id": "LEGIARTI000032786420", "@fin": "2999-01-01", "@num": "L532-18-1", "@etat": "VIGUEUR", "@debut": "2018-01-03", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

Dans la limite des services qu'elle est autorisée à fournir sur le territoire de son Etat d'origine, et en fonction de l'agrément qu'elle y a reçu, toute personne morale ou physique agréée pour fournir des services d'investissement peut, sans préjudice des dispositions des articles L. 511-21 à L. 511-28, établir des succursales pour fournir des services d'investissement et des services connexes sur le territoire de la France métropolitaine et des départements d'outre-mer de Saint-Barthélemy et de Saint-Martin.

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Pour l'application des articles L. 213-3, L. 421-17 à L. 421-19, L. 431-7, L. 432-20, L. 531-10, du 5 de l'article L. 533-10, des articles L. 621-17-2 à L. 621-17-7 et L. 621-18-1, les personnes mentionnées à l'alinéa précédent sont assimilées à des prestataires de services d'investissement.

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Lorsqu'un prestataire de services d'investissement ayant son siège social dans un autre Etat membre recourt à des agents liés mentionnés à l'article L. 545-1, établis sur le territoire de la France métropolitaine et des départements d'outre-mer de Saint-Barthélemy et de Saint-Martin, ces agents sont assimilés à une succursale.

\n
" } }, "LEGIARTI000019300578": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L511-34", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2010-07-03", "DATE_DEBUT": "2008-08-06" } }, "META_COMMUN": { "ID": "LEGIARTI000019300578", "URL": "article/LEGI/ARTI/00/00/19/30/05/LEGIARTI000019300578.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "JORFTEXT000000886460", "#text": "LOI n° 78-17 du 6 janvier 1978", "@sens": "source", "@cidtexte": "JORFTEXT000000886460", "@numtexte": "78-17", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "1978-01-06" }, { "@id": "LEGITEXT000005630278", "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@nortexte": "ECOX0000098R", "@numtexte": "2000-1223", "@typelien": "CODIFICATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2000-12-14" }, { "@id": "LEGIARTI000025918602", "@num": "315-55", "#text": "Arrêté du 12 novembre 2004 - art. 315-55 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000043414077", "@num": "320-20", "#text": "Arrêté du 12 novembre 2004 - art. 320-20 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000043414121", "@num": "321-147", "#text": "Arrêté du 12 novembre 2004 - art. 321-147 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000037541870", "@num": "550-10", "#text": "Arrêté du 12 novembre 2004 - art. 550-10 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000026208019", "@num": "560-13", "#text": "Arrêté du 12 novembre 2004 - art. 560-13 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000019285253", "@num": "155", "#text": "LOI n°2008-776\n du 4 août 2008 - art. 155", "@sens": "cible", "@cidtexte": "JORFTEXT000019283050", "@nortexte": "ECEX0808477L", "@numtexte": "2008-776", "@typelien": "MODIFIE", "@naturetexte": "LOI", "@datesignatexte": "2008-08-04" }, { "@id": "LEGIARTI000020858524", "@num": "5", "#text": "Ordonnance n°2009-865\n du 15 juillet 2009 - art. 5 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000020856565", "@nortexte": "ECET0908445R", "@numtexte": "2009-865", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2009-07-15" }, { "@id": "LEGIARTI000029703510", "@num": "68", "#text": "ARRÊTÉ du 3 novembre 2014 - art. 68 (VT)", "@sens": "cible", "@cidtexte": "JORFTEXT000029700770", "@nortexte": "FCPT1423259A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2014-11-03" }, { "@id": "LEGIARTI000032754237", "@num": "26", "#text": "Ordonnance n°2016-827 du 23 juin 2016 - art. 26", "@sens": "cible", "@cidtexte": "JORFTEXT000032752983", "@nortexte": "FCPT1604110R", "@numtexte": "2016-827", "@typelien": "CONCORDE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2016-06-23" }, { "@id": "LEGIARTI000043053301", "@num": "22", "#text": "Arrêté du 6 janvier 2021 - art. 22 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000042992976", "@nortexte": "ECOT2100415A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2021-01-06" }, { "@id": "LEGIARTI000029722028", "@num": "L511-24", "#text": "Code monétaire et financier - art. 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Les entreprises établies en France et qui font partie d'un groupe financier ou d'un groupe mixte ou d'un conglomérat financier auquel appartiennent des établissements de crédit ou entreprises d'investissement ayant leur siège social dans un Etat membre de la Communauté européenne ou Etat partie à l'accord sur l'Espace économique européen ou dans un Etat où sont applicables les accords prévus aux articles L. 632-7, L. 632-13 et L. 632-16 sont tenues, nonobstant toutes dispositions contraires, de transmettre à des entreprises du même groupe ayant leur siège social dans l'un de ces Etats :

1° Les renseignements relatifs à leur situation financière nécessaires à l'organisation de la surveillance sur base consolidée et de la surveillance complémentaire de ces établissements de crédit ou entreprises d'investissement ;

2° Les informations nécessaires à l'organisation de la lutte contre le blanchiment des capitaux et contre le financement du terrorisme ;

3° Les informations nécessaires à l'organisation de la détection des opérations d'initié ou des manipulations de cours mentionnées à l'article L. 621-17-2 ;

4° Les informations nécessaires à la gestion des conflits d'intérêts au sens du 3 de l'article L. 533-10.

Ces dernières informations ne peuvent être communiquées à des personnes extérieures au groupe, à l'exception des autorités compétentes des Etats visés au premier alinéa. Cette exception ne s'étend pas aux autorités des Etats ou territoires dont la législation est reconnue insuffisante ou dont les pratiques sont considérées comme faisant obstacle à la lutte contre le blanchiment des capitaux ou le financement du terrorisme par l'instance internationale de concertation et de coordination en matière de lutte contre le blanchiment d'argent dont la liste est mise à jour par arrêté du ministre chargé de l'économie.

Les personnes recevant ces informations sont tenues au secret professionnel dans les conditions et sous les peines mentionnées à l'article L. 511-33, pour tous renseignements ou documents qu'elles seraient ainsi amenées à recevoir ou à détenir.

Les dispositions du présent article ne font pas obstacle à l'application de la loi n° 78-17 du 6 janvier 1978 relative à l'informatique, aux fichiers et aux libertés.

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Il ne peut utiliser ces titres pour son propre compte que dans les conditions prévues au 6° de l'article L. 533-10." } }, "LEGIARTI000020096460": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L532-18-1", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2012-01-01", "DATE_DEBUT": "2009-01-10" } }, "META_COMMUN": { "ID": "LEGIARTI000020096460", "URL": "article/LEGI/ARTI/00/00/20/09/64/LEGIARTI000020096460.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "LEGITEXT000005630278", "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@nortexte": "ECOX0000098R", "@numtexte": "2000-1223", "@typelien": "CODIFICATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2000-12-14" }, { "@id": "LEGIARTI000036892783", "@num": "311-1", "#text": "Arrêté du 12 novembre 2004 - art. 311-1 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000035174056", "@num": "313-78", "#text": "Arrêté du 12 novembre 2004 - art. 313-78 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000035174071", "@num": "313-78-1", "#text": "Arrêté du 12 novembre 2004 - art. 313-78-1 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000020086778", "@num": "4", "#text": "Ordonnance n°2009-15\n du 8 janvier 2009 - art. 4", "@sens": "cible", "@cidtexte": "JORFTEXT000020052506", "@nortexte": "ECET0821377R", "@numtexte": "2009-15", "@typelien": "MODIFIE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2009-01-08" }, { "@id": "LEGIARTI000043056737", "@num": "272", "#text": "ARRÊTÉ du 3 novembre 2014 - art. 272 (VD)", "@sens": "cible", "@cidtexte": "JORFTEXT000029700770", "@nortexte": "FCPT1423259A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2014-11-03" }, { "@id": "LEGIARTI000043225353", "@num": "9", "#text": "ARRÊTÉ du 3 novembre 2014 - art. 9 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000029701550", "@nortexte": "FCPT1423266A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2014-11-03" }, { "@id": "LEGIARTI000035171880", "#text": "Arrêté du 3 juillet 2017 - art.", "@sens": "cible", "@cidtexte": "JORFTEXT000035168547", "@nortexte": "ECOT1719088A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2017-07-03" }, { "@id": "LEGIARTI000049332367", "@num": "1", "#text": "Arrêté du 18 mars 2024 - art. 1 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000049330539", "@nortexte": "ECOT2405643A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2024-03-18" }, { "@id": "LEGIARTI000020087630", "@num": "L211-36", "#text": "Code monétaire et financier - art. 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L531-10 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032786415", "@num": "L532-18-2", "#text": "Code monétaire et financier - art. L532-18-2 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032786410", "@num": "L532-19", "#text": "Code monétaire et financier - art. L532-19 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032786404", "@num": "L532-20", "#text": "Code monétaire et financier - art. L532-20 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000042623846", "@num": "L532-20-1", "#text": "Code monétaire et financier - art. L532-20-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035042984", "@num": "L532-20-1-B", "#text": "Code monétaire et financier - art. L532-20-1-B (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032786382", "@num": "L532-21-1", "#text": "Code monétaire et financier - art. L532-21-1 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000038613966", "@num": "L532-21-3", "#text": "Code monétaire et financier - art. L532-21-3 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000021759239", "@num": "L532-26", "#text": "Code monétaire et financier - art. L532-26 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006658230", "@num": "L545-1", "#text": "Code monétaire et financier - art. L545-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000048526883", "@num": "L561-2", "#text": "Code monétaire et financier - art. L561-2 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043707120", "@num": "L613-32", "#text": "Code monétaire et financier - art. L613-32 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043707171", "@num": "L613-32-1", "#text": "Code monétaire et financier - art. L613-32-1 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035043622", "@num": "L613-33-4", "#text": "Code monétaire et financier - art. L613-33-4 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006661208", "@num": "L621-17-2", "#text": "Code monétaire et financier - art. L621-17-2", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050372905", "@num": "L621-7", "#text": "Code monétaire et financier - art. L621-7 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050371830", "@num": "L621-9", "#text": "Code monétaire et financier - art. L621-9 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050361403", "@num": "L773-42", "#text": "Code monétaire et financier - art. L773-42 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050361355", "@num": "L774-42", "#text": "Code monétaire et financier - art. L774-42 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000045236895", "@num": "L775-36", "#text": "Code monétaire et financier - art. L775-36 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000021949222", "@num": "R532-17", "#text": "Code monétaire et financier - art. R532-17 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000027874889", "@num": "R532-18", "#text": "Code monétaire et financier - art. R532-18 (Ab)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043802850", "@num": "R613-37-1", "#text": "Code monétaire et financier - art. R613-37-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000006184914", "@fin": "2018-01-03", "#text": "Sous-section 2 : Libre prestation de services et liberté d'établissement en France", "@debut": "2001-01-01" }, { "@id": "LEGISCTA000035042856", "@fin": "2999-01-01", "#text": "Sous-section 2 : Libre établissement et libre prestation de services en France (Passeport entrant)", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006170642", "@fin": "2018-01-03", "#text": "Section 2 : Libre établissement et libre prestation de services sur le territoire des Etats parties à l'accord sur l'Espace économique européen", "@debut": "2001-01-01" }, { "@id": "LEGISCTA000032786469", "@fin": "2017-06-28", "#text": "Section 2 : Libre établissement et libre prestation de services sur le territoire des Etats membres de l'Union européenne ou parties à l'accord sur l'Espace économique européen", "@debut": "2018-01-03" }, { "@id": "LEGISCTA000035042858", "@fin": "2999-01-01", "#text": "Section 2 : Libre établissement et libre prestation de services sur le territoire des Etats membres de l'Union européenne ou parties à l'accord sur l'Espace économique européen (Passeports)", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006154696", "@fin": "2999-01-01", "#text": "Chapitre II : Conditions d'exercice de la profession", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006140119", "@fin": "2999-01-01", "#text": "Titre III : Les prestataires de services d'investissement", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006123943", "@fin": "2999-01-01", "#text": "Livre V : Les prestataires de services", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006101336", "@fin": "2999-01-01", "#text": "Partie législative", "@debut": "2001-01-01" } ] }, "@cid": "LEGITEXT000006072026", "@nature": "CODE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Code monétaire et financier", "@debut": "2001-01-01", "@id_txt": "LEGITEXT000006072026", "@c_titre_court": "Code monétaire et financier" } ], "@date_publi": "2999-01-01", "@date_signature": "2999-01-01" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE_MORT_NE", "LIEN_ART": { "@id": "LEGIARTI000006657534", "@fin": "2007-10-19", "@num": "L532-18-1", "@etat": "MODIFIE_MORT_NE", "@debut": "2007-11-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006657535", "@fin": "2008-07-17", "@num": "L532-18-1", "@etat": "MODIFIE", "@debut": "2007-11-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000019202572", "@fin": "2009-01-10", "@num": "L532-18-1", "@etat": "MODIFIE", "@debut": "2008-07-17", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000020096460", "@fin": "2012-01-01", "@num": "L532-18-1", "@etat": "MODIFIE", "@debut": "2009-01-10", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000025019244", "@fin": "2014-01-01", "@num": "L532-18-1", "@etat": "MODIFIE", "@debut": "2012-01-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000026992932", "@fin": "2018-01-03", "@num": "L532-18-1", "@etat": "MODIFIE", "@debut": "2014-01-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE_MORT_NE", "LIEN_ART": { "@id": "LEGIARTI000032751975", "@fin": "2016-06-25", "@num": "L532-18-1", "@etat": "MODIFIE_MORT_NE", "@debut": "2016-07-03", "@origine": "LEGI" } }, { "@etat": "VIGUEUR", "LIEN_ART": { "@id": "LEGIARTI000032786420", "@fin": "2999-01-01", "@num": "L532-18-1", "@etat": "VIGUEUR", "@debut": "2018-01-03", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

Pour l'application des articles L. 213-3, L. 421-17 à L. 421-19, L. 211-36, L. 211-36-1, L. 211-35, L. 531-10, du 5 de l'article L. 533-10, des articles L. 621-17-2 à L. 621-17-7 et L. 621-18-1, les personnes mentionnées à l'alinéa précédent sont assimilées à des prestataires de services d'investissement.

" } }, "LEGIARTI000022422909": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L511-34", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2014-01-01", "DATE_DEBUT": "2010-07-03" } }, "META_COMMUN": { "ID": "LEGIARTI000022422909", "URL": "article/LEGI/ARTI/00/00/22/42/29/LEGIARTI000022422909.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "JORFTEXT000000886460", "#text": "LOI n° 78-17 du 6 janvier 1978", "@sens": "source", "@cidtexte": "JORFTEXT000000886460", "@numtexte": "78-17", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "1978-01-06" }, { "@id": "LEGITEXT000005630278", "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@nortexte": "ECOX0000098R", "@numtexte": "2000-1223", "@typelien": "CODIFICATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2000-12-14" }, { "@id": "LEGIARTI000025918602", "@num": "315-55", "#text": "Arrêté du 12 novembre 2004 - art. 315-55 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000043414077", "@num": "320-20", "#text": "Arrêté du 12 novembre 2004 - art. 320-20 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000043414121", "@num": "321-147", "#text": "Arrêté du 12 novembre 2004 - art. 321-147 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000037541870", "@num": "550-10", "#text": "Arrêté du 12 novembre 2004 - art. 550-10 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000026208019", "@num": "560-13", "#text": "Arrêté du 12 novembre 2004 - art. 560-13 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000020858524", "@num": "5", "#text": "Ordonnance n°2009-865\n du 15 juillet 2009 - art. 5 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000020856565", "@nortexte": "ECET0908445R", "@numtexte": "2009-865", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2009-07-15" }, { "@id": "LEGIARTI000022420531", "@num": "29", "#text": "LOI n°2010-737\n du 1er juillet 2010 - art. 29", "@sens": "cible", "@cidtexte": "JORFTEXT000022419094", "@nortexte": "ECEX0906890L", "@numtexte": "2010-737", "@typelien": "MODIFIE", "@naturetexte": "LOI", "@datesignatexte": "2010-07-01" }, { "@id": "LEGIARTI000029703510", "@num": "68", "#text": "ARRÊTÉ du 3 novembre 2014 - art. 68 (VT)", "@sens": "cible", "@cidtexte": "JORFTEXT000029700770", "@nortexte": "FCPT1423259A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2014-11-03" }, { "@id": "LEGIARTI000032754237", "@num": "26", "#text": "Ordonnance n°2016-827 du 23 juin 2016 - art. 26", "@sens": "cible", "@cidtexte": "JORFTEXT000032752983", "@nortexte": "FCPT1604110R", "@numtexte": "2016-827", "@typelien": "CONCORDE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2016-06-23" }, { "@id": "LEGIARTI000043053301", "@num": "22", "#text": "Arrêté du 6 janvier 2021 - art. 22 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000042992976", "@nortexte": "ECOT2100415A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2021-01-06" }, { "@id": "LEGIARTI000029722028", "@num": "L511-24", "#text": "Code monétaire et financier - art. 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L533-7 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000044564271", "@num": "L571-4", "#text": "Code monétaire et financier - art. L571-4 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006661208", "@num": "L621-17-2", "#text": "Code monétaire et financier - art. L621-17-2", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006661594", "@num": "L632-13", "#text": "Code monétaire et financier - art. L632-13", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006661632", "@num": "L632-16", "#text": "Code monétaire et financier - art. L632-16", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006661563", "@num": "L632-7", "#text": "Code monétaire et financier - art. L632-7", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006663321", "@num": "L735-1", "#text": "Code monétaire et financier - art. L735-1 (T)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006663332", "@num": "L735-1-1", "#text": "Code monétaire et financier - art. L735-1-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006664625", "@num": "L745-1", "#text": "Code monétaire et financier - art. L745-1 (T)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000042735829", "@num": "L745-1-1", "#text": "Code monétaire et financier - art. L745-1-1 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006666048", "@num": "L755-1", "#text": "Code monétaire et financier - art. L755-1 (T)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000042735800", "@num": "L755-1-1", "#text": "Code monétaire et financier - art. L755-1-1 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006667318", "@num": "L765-1", "#text": "Code monétaire et financier - art. L765-1 (T)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000042735785", "@num": "L765-1-1", "#text": "Code monétaire et financier - art. L765-1-1 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000047849522", "@num": "L773-4", "#text": "Code monétaire et financier - art. L773-4 (M)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000047849504", "@num": "L774-4", "#text": "Code monétaire et financier - art. L774-4 (M)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000047849486", "@num": "L775-4", "#text": "Code monétaire et financier - art. L775-4 (M)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006686444", "@num": "R562-2-1", "#text": "Code monétaire et financier - art. R562-2-1 (Ab)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006745809", "@num": "L933-2", "#text": "Code de la sécurité sociale. - art. L933-2", "@sens": "source", "@cidtexte": "LEGITEXT000006073189", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006797395", "@num": "L322-1-2", "#text": "Code des assurances - art. 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Les entreprises établies en France et qui font partie d'un groupe financier ou, pour l'application du 2° du présent article, d'un groupe au sens des articles L. 322-1-2, L. 322-1-3 et L. 334-2 du code des assurances et au sens des articles L. 111-4-2 et L. 212-7-1 du code de la mutualité et L. 933-2 du code de la sécurité sociale, ou d'un groupe mixte ou d'un conglomérat financier auquel appartiennent des établissements de crédit ou entreprises d'investissement ayant leur siège social dans un Etat membre de la Communauté européenne ou Etat partie à l'accord sur l'Espace économique européen ou dans un Etat où sont applicables les accords prévus aux articles L. 632-7, L. 632-13 et L. 632-16 du présent code sont tenues, nonobstant toutes dispositions contraires, de transmettre à des entreprises du même groupe ayant leur siège social dans l'un de ces Etats :

2° Les informations nécessaires à l'organisation de la lutte contre le blanchiment des capitaux et contre le financement du terrorisme ;

3° Les informations nécessaires à l'organisation de la détection des opérations d'initié ou des manipulations de cours mentionnées à l'article L. 621-17-2 ;

4° Les informations nécessaires à la gestion des conflits d'intérêts au sens du 3 de l'article L. 533-10.

Les dispositions du présent article ne font pas obstacle à l'application de la loi n° 78-17 du 6 janvier 1978 relative à l'informatique, aux fichiers et aux libertés.

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Dans la limite des services qu'elle est autorisée à fournir sur le territoire de son Etat d'origine, et en fonction de l'agrément qu'elle y a reçu, toute personne morale ou physique agréée pour fournir des services d'investissement peut, sans préjudice des dispositions des articles L. 511-21 à L. 511-28, établir des succursales pour fournir des services d'investissement et des services connexes sur le territoire de la France métropolitaine, des départements d'outre-mer et de Saint-Martin.

Lorsqu'un prestataire de services d'investissement ayant son siège social dans un autre Etat membre recourt à des agents liés mentionnés à l'article L. 545-1, établis sur le territoire de la France métropolitaine, des départements d'outre-mer et de Saint-Martin, ces agents sont assimilés à une succursale.

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Le prestataire de services d'investissement conserve les enregistrements mentionnés aux articles L. 533-8 et au 5 de l'article L. 533-10 du code monétaire et financier pendant au moins cinq ans.
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Les conventions qui fixent les droits et obligations respectifs du prestataire de services d'investissement et d'un client dans le cadre d'un contrat de prestation de services, ou les conditions que le prestataire de services d'investissement applique pour la fourniture de services au client, sont conservées au moins pendant toute la durée de la relation avec le client.
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En cas de retrait de l'agrément du prestataire de services d'investissement, l'AMF peut exiger que celui-ci s'assure de la conservation de tous les enregistrements concernés jusqu'à l'échéance de la période de cinq ans prévue au premier alinéa.
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L'AMF peut, dans des circonstances exceptionnelles, exiger du prestataire de services d'investissement qu'il conserve tout ou partie de ces enregistrements sur une période plus longue, dans la limite justifiée par la nature de l'instrument ou de la transaction, si cela lui est indispensable pour exercer ses fonctions de contrôle.

\n
\n
" } }, "LEGIARTI000025908857": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "313-17-1", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2008-08-28", "DATE_DEBUT": "2007-12-31" } }, "META_COMMUN": { "ID": "LEGIARTI000025908857", "URL": "article/LEGI/ARTI/00/00/25/90/88/LEGIARTI000025908857.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "JORFTEXT000017765163", "#text": "Arrêté du 27 décembre 2007, v. init.", "@sens": "source", "@cidtexte": "JORFTEXT000017765163", "@nortexte": "ECET0770790A", "@typelien": "CREATION", "@naturetexte": "ARRETE", "@datesignatexte": "2007-12-27" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000025786006", "@fin": "2018-01-03", "#text": "Sous-section 5 : Protection des avoirs des clients", "@debut": "2007-11-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025780215", "@fin": "2018-01-03", "#text": "Section 1 : Règles d'organisation applicables \r\nà l'ensemble des prestataires de services d'investissement", "@debut": "2007-11-01" }, { "@id": "LEGISCTA000036892971", "@fin": "2999-01-01", "#text": "Section 1 : Obligations en matière de gouvernance des instruments financiers applicables aux producteurs", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025780200", "@fin": "2018-01-03", "#text": "Chapitre III : Règles d'organisation", "@debut": "2007-11-01" }, { "@id": "LEGISCTA000036892985", "@fin": "2999-01-01", "#text": "Chapitre III : Exigences en matière de gouvernance des instruments financiers", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025363847", "@fin": "2007-11-01", "#text": "TITRE IER : Services", "@debut": "2004-11-25" }, { "@id": "LEGISCTA000025742926", "@fin": "2999-01-01", "#text": "TITRE IER : Prestataires de services d'investissement", "@debut": "2007-11-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025363846", "@fin": "2999-01-01", "#text": "LIVRE III : Prestataires", "@debut": "2004-11-25" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025347548", "@fin": "2999-01-01", "#text": "REGLEMENT GENERAL DE L'AUTORITE DES MARCHES FINANCIERS (RGAMF)", "@debut": "2004-11-25" } ] }, "@cid": "JORFTEXT000000606599", "@nor": "ECOT0420062A", "@nature": "ARRETE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Arrêté du 12 novembre 2004 portant homologation des livres II à VI du règlement général de l'Autorité des marchés financiers", "@debut": "2999-01-01", "@id_txt": "JORFTEXT000000606599", "@c_titre_court": "Arrêté du 12 novembre 2004" }, { "@fin": "2999-01-01", "#text": "Arrêté du 12 novembre 2004 portant homologation des livres II à VI du règlement général de l'Autorité des marchés financiers (RGAMF)", "@debut": "2004-11-25", "@id_txt": "LEGITEXT000022441606", "@c_titre_court": "Arrêté du 12 novembre 2004" } ], "@ministere": "MINISTERE DE L'ECONOMIE, DES FINANCES ET DE L'INDUSTRIE", "@date_publi": "2004-11-24", "@date_signature": "2004-11-12", "@num_parution_jo": "0273" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000025908857", "@fin": "2008-08-28", "@num": "313-17-1", "@etat": "MODIFIE", "@debut": "2007-12-31", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000025916802", "@fin": "2011-10-21", "@num": "313-17-1", "@etat": "MODIFIE", "@debut": "2008-08-28", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000025920548", "@fin": "2013-12-21", "@num": "313-17-1", "@etat": "MODIFIE", "@debut": "2011-10-21", "@origine": "LEGI" } }, { "@etat": "ABROGE", "LIEN_ART": { "@id": "LEGIARTI000028421632", "@fin": "2018-01-03", "@num": "313-17-1", "@etat": "ABROGE", "@debut": "2013-12-21", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

Le prestataire de services d'investissement veille à ce que le contrôleur légal de ses comptes fasse un rapport au moins tous les ans à l'AMF sur le respect, par le prestataire de services d'investissement, des dispositions mentionnées au 6° de l'article L. 533-10 du code monétaire et financier et de la présente sous-section.

" } }, "LEGIARTI000025916802": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "313-17-1", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2011-10-21", "DATE_DEBUT": "2008-08-28" } }, "META_COMMUN": { "ID": "LEGIARTI000025916802", "URL": "article/LEGI/ARTI/00/00/25/91/68/LEGIARTI000025916802.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "JORFTEXT000019378734", "#text": "Arrêté du 5 août 2008, v. init.", "@sens": "source", "@cidtexte": "JORFTEXT000019378734", "@nortexte": "ECET0817064A", "@typelien": "MODIFICATION", "@naturetexte": "ARRETE", "@datesignatexte": "2008-08-05" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000025786006", "@fin": "2018-01-03", "#text": "Sous-section 5 : Protection des avoirs des clients", "@debut": "2007-11-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025780215", "@fin": "2018-01-03", "#text": "Section 1 : Règles d'organisation applicables \r\nà l'ensemble des prestataires de services d'investissement", "@debut": "2007-11-01" }, { "@id": "LEGISCTA000036892971", "@fin": "2999-01-01", "#text": "Section 1 : Obligations en matière de gouvernance des instruments financiers applicables aux producteurs", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025780200", "@fin": "2018-01-03", "#text": "Chapitre III : Règles d'organisation", "@debut": "2007-11-01" }, { "@id": "LEGISCTA000036892985", "@fin": "2999-01-01", "#text": "Chapitre III : Exigences en matière de gouvernance des instruments financiers", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025363847", "@fin": "2007-11-01", "#text": "TITRE IER : Services", "@debut": "2004-11-25" }, { "@id": "LEGISCTA000025742926", "@fin": "2999-01-01", "#text": "TITRE IER : Prestataires de services d'investissement", "@debut": "2007-11-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025363846", "@fin": "2999-01-01", "#text": "LIVRE III : Prestataires", "@debut": "2004-11-25" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025347548", "@fin": "2999-01-01", "#text": "REGLEMENT GENERAL DE L'AUTORITE DES MARCHES FINANCIERS (RGAMF)", "@debut": "2004-11-25" } ] }, "@cid": "JORFTEXT000000606599", "@nor": "ECOT0420062A", "@nature": "ARRETE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Arrêté du 12 novembre 2004 portant homologation des livres II à VI du règlement général de l'Autorité des marchés financiers", "@debut": "2999-01-01", "@id_txt": "JORFTEXT000000606599", "@c_titre_court": "Arrêté du 12 novembre 2004" }, { "@fin": "2999-01-01", "#text": "Arrêté du 12 novembre 2004 portant homologation des livres II à VI du règlement général de l'Autorité des marchés financiers (RGAMF)", "@debut": "2004-11-25", "@id_txt": "LEGITEXT000022441606", "@c_titre_court": "Arrêté du 12 novembre 2004" } ], "@ministere": "MINISTERE DE L'ECONOMIE, DES FINANCES ET DE L'INDUSTRIE", "@date_publi": "2004-11-24", "@date_signature": "2004-11-12", "@num_parution_jo": "0273" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000025908857", "@fin": "2008-08-28", "@num": "313-17-1", "@etat": "MODIFIE", "@debut": "2007-12-31", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000025916802", "@fin": "2011-10-21", "@num": "313-17-1", "@etat": "MODIFIE", "@debut": "2008-08-28", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000025920548", "@fin": "2013-12-21", "@num": "313-17-1", "@etat": "MODIFIE", "@debut": "2011-10-21", "@origine": "LEGI" } }, { "@etat": "ABROGE", "LIEN_ART": { "@id": "LEGIARTI000028421632", "@fin": "2018-01-03", "@num": "313-17-1", "@etat": "ABROGE", "@debut": "2013-12-21", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

Le prestataire de services d'investissement veille à ce que le contrôleur légal de ses comptes fasse un rapport au moins tous les ans à l'AMF sur l'adéquation des dispositions prises par le prestataire de services d'investissement, en application du 6° de l'article L. 533-10 du code monétaire et financier et de la présente sous-section.

" } }, "LEGIARTI000025920035": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "311-8", "ETAT": "ABROGE", "TYPE": "AUTONOME", "DATE_FIN": "2018-01-03", "DATE_DEBUT": "2011-10-21" } }, "META_COMMUN": { "ID": "LEGIARTI000025920035", "URL": "article/LEGI/ARTI/00/00/25/92/00/LEGIARTI000025920035.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "JORFTEXT000024685831", "#text": "Arrêté du 3 octobre 2011, v. init.", "@sens": "source", "@cidtexte": "JORFTEXT000024685831", "@nortexte": "EFIT1123311A", "@typelien": "MODIFICATION", "@naturetexte": "ARRETE", "@datesignatexte": "2011-10-03" }, { "@id": "LEGIARTI000036830462", "#text": "Arrêté du 20 décembre 2017 - art.", "@sens": "cible", "@cidtexte": "JORFTEXT000036249833", "@nortexte": "ECOT1735827A", "@typelien": "ABROGE", "@naturetexte": "ARRETE", "@datesignatexte": "2017-12-20" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006685655", "@num": "R532-1", "#text": "Code monétaire et financier - art. R532-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000025742995", "@fin": "2018-01-03", "#text": "Sous-section 1 : Approbation du programme d'activité", "@debut": "2007-11-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025742993", "@fin": "2018-01-03", "#text": "Section 2 : Prestataires de services d'investissement exerçant le service de gestion de portefeuille pour le compte de tiers à titre accessoire ou le service de conseil en investissement", "@debut": "2007-11-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025363849", "@fin": "2007-11-01", "#text": "Chapitre Ier : Dispositions générales", "@debut": "2004-11-25" }, { "@id": "LEGISCTA000025742928", "@fin": "2018-01-03", "#text": "Chapitre Ier : Procédure relative à l'agrément, au programme d'activité et au passeport", "@debut": "2007-11-01" }, { "@id": "LEGISCTA000036892780", "@fin": "2999-01-01", "#text": "Chapitre Ier : Procédure relative à l'agrément et au programme d'activité", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025363847", "@fin": "2007-11-01", "#text": "TITRE IER : Services", "@debut": "2004-11-25" }, { "@id": "LEGISCTA000025742926", "@fin": "2999-01-01", "#text": "TITRE IER : Prestataires de services d'investissement", "@debut": "2007-11-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025363846", "@fin": "2999-01-01", "#text": "LIVRE III : Prestataires", "@debut": "2004-11-25" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025347548", "@fin": "2999-01-01", "#text": "REGLEMENT GENERAL DE L'AUTORITE DES MARCHES FINANCIERS (RGAMF)", "@debut": "2004-11-25" } ] }, "@cid": "JORFTEXT000000606599", "@nor": "ECOT0420062A", "@nature": "ARRETE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Arrêté du 12 novembre 2004 portant homologation des livres II à VI du règlement général de l'Autorité des marchés financiers", "@debut": "2999-01-01", "@id_txt": "JORFTEXT000000606599", "@c_titre_court": "Arrêté du 12 novembre 2004" }, { "@fin": "2999-01-01", "#text": "Arrêté du 12 novembre 2004 portant homologation des livres II à VI du règlement général de l'Autorité des marchés financiers (RGAMF)", "@debut": "2004-11-25", "@id_txt": "LEGITEXT000022441606", "@c_titre_court": "Arrêté du 12 novembre 2004" } ], "@ministere": "MINISTERE DE L'ECONOMIE, DES FINANCES ET DE L'INDUSTRIE", "@date_publi": "2004-11-24", "@date_signature": "2004-11-12", "@num_parution_jo": "0273" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000025742999", "@fin": "2011-10-21", "@num": "311-8", "@etat": "MODIFIE", "@debut": "2007-11-01", "@origine": "LEGI" } }, { "@etat": "ABROGE", "LIEN_ART": { "@id": "LEGIARTI000025920035", "@fin": "2018-01-03", "@num": "311-8", "@etat": "ABROGE", "@debut": "2011-10-21", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

Lorsqu'un prestataire de services d'investissement, autre qu'une société de gestion de portefeuille, envisage de fournir le service de gestion de portefeuille pour le compte de tiers, son programme d'activité est présenté dans les conditions décrites à l'article 311-1.
\n
Lorsqu'un prestataire de services d'investissement, autre qu'une société de gestion de portefeuille, envisage de fournir le service de conseil en investissement, son programme d'activité est présenté conformément au dossier mentionné à l'article R. 532-1 du code monétaire et financier.
\n
En application des dispositions des articles L. 533-10 et L. 533-10-1 du code monétaire et financier et pour la fourniture des services d'investissement concernés, les programmes d'activité mentionnés au présent article sont établis conformément aux dispositions de la section I du chapitre III.

" } }, "LEGIARTI000025920548": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "313-17-1", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2013-12-21", "DATE_DEBUT": "2011-10-21" } }, "META_COMMUN": { "ID": "LEGIARTI000025920548", "URL": "article/LEGI/ARTI/00/00/25/92/05/LEGIARTI000025920548.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "JORFTEXT000024685831", "#text": "Arrêté du 3 octobre 2011, v. init.", "@sens": "source", "@cidtexte": "JORFTEXT000024685831", "@nortexte": "EFIT1123311A", "@typelien": "MODIFICATION", "@naturetexte": "ARRETE", "@datesignatexte": "2011-10-03" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000025786006", "@fin": "2018-01-03", "#text": "Sous-section 5 : Protection des avoirs des clients", "@debut": "2007-11-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025780215", "@fin": "2018-01-03", "#text": "Section 1 : Règles d'organisation applicables \r\nà l'ensemble des prestataires de services d'investissement", "@debut": "2007-11-01" }, { "@id": "LEGISCTA000036892971", "@fin": "2999-01-01", "#text": "Section 1 : Obligations en matière de gouvernance des instruments financiers applicables aux producteurs", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025780200", "@fin": "2018-01-03", "#text": "Chapitre III : Règles d'organisation", "@debut": "2007-11-01" }, { "@id": "LEGISCTA000036892985", "@fin": "2999-01-01", "#text": "Chapitre III : Exigences en matière de gouvernance des instruments financiers", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025363847", "@fin": "2007-11-01", "#text": "TITRE IER : Services", "@debut": "2004-11-25" }, { "@id": "LEGISCTA000025742926", "@fin": "2999-01-01", "#text": "TITRE IER : Prestataires de services d'investissement", "@debut": "2007-11-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025363846", "@fin": "2999-01-01", "#text": "LIVRE III : Prestataires", "@debut": "2004-11-25" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025347548", "@fin": "2999-01-01", "#text": "REGLEMENT GENERAL DE L'AUTORITE DES MARCHES FINANCIERS (RGAMF)", "@debut": "2004-11-25" } ] }, "@cid": "JORFTEXT000000606599", "@nor": "ECOT0420062A", "@nature": "ARRETE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Arrêté du 12 novembre 2004 portant homologation des livres II à VI du règlement général de l'Autorité des marchés financiers", "@debut": "2999-01-01", "@id_txt": "JORFTEXT000000606599", "@c_titre_court": "Arrêté du 12 novembre 2004" }, { "@fin": "2999-01-01", "#text": "Arrêté du 12 novembre 2004 portant homologation des livres II à VI du règlement général de l'Autorité des marchés financiers (RGAMF)", "@debut": "2004-11-25", "@id_txt": "LEGITEXT000022441606", "@c_titre_court": "Arrêté du 12 novembre 2004" } ], "@ministere": "MINISTERE DE L'ECONOMIE, DES FINANCES ET DE L'INDUSTRIE", "@date_publi": "2004-11-24", "@date_signature": "2004-11-12", "@num_parution_jo": "0273" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000025908857", "@fin": "2008-08-28", "@num": "313-17-1", "@etat": "MODIFIE", "@debut": "2007-12-31", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000025916802", "@fin": "2011-10-21", "@num": "313-17-1", "@etat": "MODIFIE", "@debut": "2008-08-28", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000025920548", "@fin": "2013-12-21", "@num": "313-17-1", "@etat": "MODIFIE", "@debut": "2011-10-21", "@origine": "LEGI" } }, { "@etat": "ABROGE", "LIEN_ART": { "@id": "LEGIARTI000028421632", "@fin": "2018-01-03", "@num": "313-17-1", "@etat": "ABROGE", "@debut": "2013-12-21", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

" } }, "LEGIARTI000025920591": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "313-23", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2013-12-21", "DATE_DEBUT": "2011-10-21" } }, "META_COMMUN": { "ID": "LEGIARTI000025920591", "URL": "article/LEGI/ARTI/00/00/25/92/05/LEGIARTI000025920591.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "JORFTEXT000024685831", "#text": "Arrêté du 3 octobre 2011, v. init.", "@sens": "source", "@cidtexte": "JORFTEXT000024685831", "@nortexte": "EFIT1123311A", "@typelien": "MODIFICATION", "@naturetexte": "ARRETE", "@datesignatexte": "2011-10-03" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10 (M)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000025786106", "@fin": "2018-01-03", "#text": "Paragraphe 3 : Information des clients", "@debut": "2007-11-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025786030", "@fin": "2018-01-03", "#text": "Sous-section 6 : Conflits d'intérêts", "@debut": "2007-11-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025780215", "@fin": "2018-01-03", "#text": "Section 1 : Règles d'organisation applicables \r\nà l'ensemble des prestataires de services d'investissement", "@debut": "2007-11-01" }, { "@id": "LEGISCTA000036892971", "@fin": "2999-01-01", "#text": "Section 1 : Obligations en matière de gouvernance des instruments financiers applicables aux producteurs", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025780200", "@fin": "2018-01-03", "#text": "Chapitre III : Règles d'organisation", "@debut": "2007-11-01" }, { "@id": "LEGISCTA000036892985", "@fin": "2999-01-01", "#text": "Chapitre III : Exigences en matière de gouvernance des instruments financiers", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025363847", "@fin": "2007-11-01", "#text": "TITRE IER : Services", "@debut": "2004-11-25" }, { "@id": "LEGISCTA000025742926", "@fin": "2999-01-01", "#text": "TITRE IER : Prestataires de services d'investissement", "@debut": "2007-11-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025363846", "@fin": "2999-01-01", "#text": "LIVRE III : Prestataires", "@debut": "2004-11-25" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025347548", "@fin": "2999-01-01", "#text": "REGLEMENT GENERAL DE L'AUTORITE DES MARCHES FINANCIERS (RGAMF)", "@debut": "2004-11-25" } ] }, "@cid": "JORFTEXT000000606599", "@nor": "ECOT0420062A", "@nature": "ARRETE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Arrêté du 12 novembre 2004 portant homologation des livres II à VI du règlement général de l'Autorité des marchés financiers", "@debut": "2999-01-01", "@id_txt": "JORFTEXT000000606599", "@c_titre_court": "Arrêté du 12 novembre 2004" }, { "@fin": "2999-01-01", "#text": "Arrêté du 12 novembre 2004 portant homologation des livres II à VI du règlement général de l'Autorité des marchés financiers (RGAMF)", "@debut": "2004-11-25", "@id_txt": "LEGITEXT000022441606", "@c_titre_court": "Arrêté du 12 novembre 2004" } ], "@ministere": "MINISTERE DE L'ECONOMIE, DES FINANCES ET DE L'INDUSTRIE", "@date_publi": "2004-11-24", "@date_signature": "2004-11-12", "@num_parution_jo": "0273" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000025786109", "@fin": "2011-10-21", "@num": "313-23", "@etat": "MODIFIE", "@debut": "2007-11-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000025920591", "@fin": "2013-12-21", "@num": "313-23", "@etat": "MODIFIE", "@debut": "2011-10-21", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000028421623", "@fin": "2018-01-03", "@num": "313-23", "@etat": "MODIFIE", "@debut": "2013-12-21", "@origine": "LEGI" } }, { "@etat": "VIGUEUR", "LIEN_ART": { "@id": "LEGIARTI000036893048", "@fin": "2999-01-01", "@num": "313-23", "@etat": "VIGUEUR", "@debut": "2018-01-03", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

I. - L'information communiquée aux clients en application du 3 de l'article L. 533-10 du code monétaire et financier est fournie sur un support durable.
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Elle est suffisamment détaillée, eu égard aux caractéristiques du client afin que celui-ci puisse prendre une décision en connaissance de cause.
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II. - Pour l'activité de gestion d'OPCVM, lorsque les dispositions organisationnelles ou administratives prises par le prestataire de services d'investissement en vue de gérer les conflits d'intérêts ne suffisent pas à garantir, avec une certitude raisonnable, que le risque de porter atteinte aux intérêts de l'OPCVM ou de ses porteurs de parts ou actionnaires sera évité, les dirigeants ou l'organe interne compétent du prestataire de services d'investissement sont informés dans les meilleurs délais afin qu'ils puissent prendre toute mesure nécessaire pour garantir que le prestataire de services d'investissement agira dans tous les cas au mieux des intérêts de l'OPCVM et de ses porteurs de parts ou actionnaires.
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Les porteurs de parts ou actionnaires de l'OPCVM sont informés sur un support durable des raisons de la décision du prestataire de services d'investissement.

" } }, "LEGIARTI000025920705": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "313-49", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2013-12-21", "DATE_DEBUT": "2011-10-21" } }, "META_COMMUN": { "ID": "LEGIARTI000025920705", "URL": "article/LEGI/ARTI/00/00/25/92/07/LEGIARTI000025920705.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "JORFTEXT000024685831", "#text": "Arrêté du 3 octobre 2011, v. init.", "@sens": "source", "@cidtexte": "JORFTEXT000024685831", "@nortexte": "EFIT1123311A", "@typelien": "MODIFICATION", "@naturetexte": "ARRETE", "@datesignatexte": "2011-10-03" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10 (M)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657793", "@num": "L533-8", "#text": "Code monétaire et financier - art. L533-8 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000025792841", "@fin": "2018-01-03", "#text": "Sous-section 8 : Enregistrements et conservation des données", "@debut": "2007-11-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025780215", "@fin": "2018-01-03", "#text": "Section 1 : Règles d'organisation applicables \r\nà l'ensemble des prestataires de services d'investissement", "@debut": "2007-11-01" }, { "@id": "LEGISCTA000036892971", "@fin": "2999-01-01", "#text": "Section 1 : Obligations en matière de gouvernance des instruments financiers applicables aux producteurs", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025780200", "@fin": "2018-01-03", "#text": "Chapitre III : Règles d'organisation", "@debut": "2007-11-01" }, { "@id": "LEGISCTA000036892985", "@fin": "2999-01-01", "#text": "Chapitre III : Exigences en matière de gouvernance des instruments financiers", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025363847", "@fin": "2007-11-01", "#text": "TITRE IER : Services", "@debut": "2004-11-25" }, { "@id": "LEGISCTA000025742926", "@fin": "2999-01-01", "#text": "TITRE IER : Prestataires de services d'investissement", "@debut": "2007-11-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025363846", "@fin": "2999-01-01", "#text": "LIVRE III : Prestataires", "@debut": "2004-11-25" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025347548", "@fin": "2999-01-01", "#text": "REGLEMENT GENERAL DE L'AUTORITE DES MARCHES FINANCIERS (RGAMF)", "@debut": "2004-11-25" } ] }, "@cid": "JORFTEXT000000606599", "@nor": "ECOT0420062A", "@nature": "ARRETE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Arrêté du 12 novembre 2004 portant homologation des livres II à VI du règlement général de l'Autorité des marchés financiers", "@debut": "2999-01-01", "@id_txt": "JORFTEXT000000606599", "@c_titre_court": "Arrêté du 12 novembre 2004" }, { "@fin": "2999-01-01", "#text": "Arrêté du 12 novembre 2004 portant homologation des livres II à VI du règlement général de l'Autorité des marchés financiers (RGAMF)", "@debut": "2004-11-25", "@id_txt": "LEGITEXT000022441606", "@c_titre_court": "Arrêté du 12 novembre 2004" } ], "@ministere": "MINISTERE DE L'ECONOMIE, DES FINANCES ET DE L'INDUSTRIE", "@date_publi": "2004-11-24", "@date_signature": "2004-11-12", "@num_parution_jo": "0273" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000025792856", "@fin": "2011-10-21", "@num": "313-49", "@etat": "MODIFIE", "@debut": "2012-05-03", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000025920705", "@fin": "2013-12-21", "@num": "313-49", "@etat": "MODIFIE", "@debut": "2011-10-21", "@origine": "LEGI" } }, { "@etat": "ABROGE", "LIEN_ART": { "@id": "LEGIARTI000028421614", "@fin": "2018-01-03", "@num": "313-49", "@etat": "ABROGE", "@debut": "2013-12-21", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

-Le prestataire de services d'investissement conserve les enregistrements mentionnés à l'article L. 533-8 et au 5 de l'article L. 533-10 du code monétaire et financier pendant au moins cinq ans.
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Les conventions qui fixent les droits et obligations respectifs du prestataire de services d'investissement et d'un client dans le cadre d'un contrat de prestation de services, ou les conditions que le prestataire de services d'investissement applique pour la fourniture de services au client, sont conservées au moins pendant toute la durée de la relation avec le client.
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En cas de retrait de l'agrément du prestataire de services d'investissement, l'AMF peut exiger que celui-ci s'assure de la conservation de tous les enregistrements concernés jusqu'à l'échéance de la période de cinq ans prévue au premier alinéa.
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L'AMF peut, dans des circonstances exceptionnelles, exiger du prestataire de services d'investissement qu'il conserve tout ou partie de ces enregistrements sur une période plus longue, dans la limite justifiée par la nature de l'instrument ou de la transaction, si cela lui est indispensable pour exercer ses fonctions de contrôle.
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Lorsque la gestion de l'OPCVM est assurée par un nouveau prestataire de services d'investissement, celui-ci doit avoir accès aux enregistrements des cinq dernières années.

" } }, "LEGIARTI000026047623": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "411-87", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2013-12-21", "DATE_DEBUT": "2011-10-21" } }, "META_COMMUN": { "ID": "LEGIARTI000026047623", "URL": "article/LEGI/ARTI/00/00/26/04/76/LEGIARTI000026047623.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "JORFTEXT000024685831", "#text": "Arrêté du 3 octobre 2011, v. init.", "@sens": "source", "@cidtexte": "JORFTEXT000024685831", "@nortexte": "EFIT1123311A", "@typelien": "CREATION", "@naturetexte": "ARRETE", "@datesignatexte": "2011-10-03" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10 (M)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000026047619", "@fin": "2999-01-01", "#text": "Paragraphe 1 : Convention d'échange d'informations entre OPCVM maîtres et nourriciers ou règles de conduite interne", "@debut": "2011-10-21" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000026047615", "@fin": "2999-01-01", "#text": "Section 5 : OPCVM maîtres ou nourriciers", "@debut": "2011-10-21" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000026039469", "@fin": "2013-12-21", "#text": "Chapitre Ier : Organismes de placement collectif en valeurs mobilières conformes à la directive 2009/65/ CE du 13 juillet 2009", "@debut": "2011-10-21" }, { "@id": "LEGISCTA000028423277", "@fin": "2014-02-21", "#text": "Chapitre Ier : Organismes de placement collectif en valeurs mobilières", "@debut": "2013-12-21" }, { "@id": "LEGISCTA000028624995", "@fin": "2999-01-01", "#text": "Chapitre unique : Organismes de placement collectif en valeurs mobilières", "@debut": "2014-02-21" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025399891", "@fin": "2999-01-01", "#text": "TITRE Ier : Organismes de placement collectif en valeurs mobilières", "@debut": "2004-11-25" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025399890", "@fin": "2999-01-01", "#text": "LIVRE IV : Produits d'épargne collective", "@debut": "2004-11-25" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025347548", "@fin": "2999-01-01", "#text": "REGLEMENT GENERAL DE L'AUTORITE DES MARCHES FINANCIERS (RGAMF)", "@debut": "2004-11-25" } ] }, "@cid": "JORFTEXT000000606599", "@nor": "ECOT0420062A", "@nature": "ARRETE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Arrêté du 12 novembre 2004 portant homologation des livres II à VI du règlement général de l'Autorité des marchés financiers", "@debut": "2999-01-01", "@id_txt": "JORFTEXT000000606599", "@c_titre_court": "Arrêté du 12 novembre 2004" }, { "@fin": "2999-01-01", "#text": "Arrêté du 12 novembre 2004 portant homologation des livres II à VI du règlement général de l'Autorité des marchés financiers (RGAMF)", "@debut": "2004-11-25", "@id_txt": "LEGITEXT000022441606", "@c_titre_court": "Arrêté du 12 novembre 2004" } ], "@ministere": "MINISTERE DE L'ECONOMIE, DES FINANCES ET DE L'INDUSTRIE", "@date_publi": "2004-11-24", "@date_signature": "2004-11-12" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000026047623", "@fin": "2013-12-21", "@num": "411-87", "@etat": "MODIFIE", "@debut": "2011-10-21", "@origine": "LEGI" } }, { "@etat": "VIGUEUR", "LIEN_ART": { "@id": "LEGIARTI000028423227", "@fin": "2999-01-01", "@num": "411-87", "@etat": "VIGUEUR", "@debut": "2013-12-21", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

Lorsque l'OPCVM maître et l'OPCVM nourricier sont agréés par l'AMF, l'accord entre ces deux OPCVM est soumis au droit français et relève de la compétence exclusive des juridictions françaises.
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Lorsque l'OPCVM maître ou l'OPCVM nourricier est établi dans un autre Etat membre de l'Union européenne, l'accord doit stipuler que le droit applicable est le droit du lieu où est établi l'OPCVM maître ou celui du lieu où est établi l'OPCVM nourricier et que les deux parties reconnaissent la compétence exclusive des juridictions de l'Etat dont le droit est désigné comme applicable à cet accord.
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Lorsque l'OPCVM maître et l'OPCVM nourricier sont gérés par la même société de gestion, l'accord peut être remplacé par des règles de conduite internes assurant le respect des exigences énoncées dans la présente section.
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Les règles de conduite internes de la société de gestion prévoient des mesures appropriées pour limiter les conflits d'intérêts qui peuvent surgir entre l'OPCVM nourricier et l'OPCVM maître, ou entre l'OPCVM nourricier et d'autres porteurs de l'OPCVM maître, dès lors que ce risque n'est pas suffisamment couvert par les mesures prises par la société de gestion pour empêcher les conflits d'intérêts de porter atteinte aux intérêts de ses clients, en application du 3° de l'article L. 533-10 du code monétaire et financier.
\n
Le contenu de ces règles de conduite est précisé par une instruction de l'AMF.

" } }, "LEGIARTI000026076191": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "412-14", "ETAT": "ABROGE", "TYPE": "AUTONOME", "DATE_FIN": "2014-02-21", "DATE_DEBUT": "2011-10-21" } }, "META_COMMUN": { "ID": "LEGIARTI000026076191", "URL": "article/LEGI/ARTI/00/00/26/07/61/LEGIARTI000026076191.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "JORFTEXT000024685831", "#text": "Arrêté du 3 octobre 2011, v. init.", "@sens": "source", "@cidtexte": "JORFTEXT000024685831", "@nortexte": "EFIT1123311A", "@typelien": "CREATION", "@naturetexte": "ARRETE", "@datesignatexte": "2011-10-03" }, { "@id": "LEGIARTI000028622525", "#text": "Arrêté du 11 février 2014 - art.", "@sens": "cible", "@cidtexte": "JORFTEXT000028621668", "@nortexte": "EFIT1403029A", "@typelien": "ABROGE", "@naturetexte": "ARRETE", "@datesignatexte": "2014-02-11" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000026076166", "@fin": "2014-02-21", "#text": "Paragraphe 1 : Convention d'échange d'informations entre OPCVM maître et nourricier ou règles de conduite interne", "@debut": "2011-10-21" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000026076154", "@fin": "2014-02-21", "#text": "Sous-section 2 : OPCVM maîtres ou nourriciers", "@debut": "2011-10-21" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025400047", "@fin": "2011-10-21", "#text": "Section 1 : Information et contrôle", "@debut": "2004-11-25" }, { "@id": "LEGISCTA000026047884", "@fin": "2014-02-21", "#text": "Section 1 : Dispositions communes", "@debut": "2011-10-21" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025400044", "@fin": "2011-10-21", "#text": "Chapitre II : OPCVM maîtres et nourriciers", "@debut": "2004-11-25" }, { "@id": "LEGISCTA000026047880", "@fin": "2014-02-21", "#text": "Chapitre II : Autres OPCVM", "@debut": "2011-10-21" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025399891", "@fin": "2999-01-01", "#text": "TITRE Ier : Organismes de placement collectif en valeurs mobilières", "@debut": "2004-11-25" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025399890", "@fin": "2999-01-01", "#text": "LIVRE IV : Produits d'épargne collective", "@debut": "2004-11-25" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025347548", "@fin": "2999-01-01", "#text": "REGLEMENT GENERAL DE L'AUTORITE DES MARCHES FINANCIERS (RGAMF)", "@debut": "2004-11-25" } ] }, "@cid": "JORFTEXT000000606599", "@nor": "ECOT0420062A", "@nature": "ARRETE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Arrêté du 12 novembre 2004 portant homologation des livres II à VI du règlement général de l'Autorité des marchés financiers", "@debut": "2999-01-01", "@id_txt": "JORFTEXT000000606599", "@c_titre_court": "Arrêté du 12 novembre 2004" }, { "@fin": "2999-01-01", "#text": "Arrêté du 12 novembre 2004 portant homologation des livres II à VI du règlement général de l'Autorité des marchés financiers (RGAMF)", "@debut": "2004-11-25", "@id_txt": "LEGITEXT000022441606", "@c_titre_court": "Arrêté du 12 novembre 2004" } ], "@ministere": "MINISTERE DE L'ECONOMIE, DES FINANCES ET DE L'INDUSTRIE", "@date_publi": "2004-11-24", "@date_signature": "2004-11-12" } }, "VERSIONS": { "VERSION": [ { "@etat": "ABROGE", "LIEN_ART": { "@id": "LEGIARTI000026076191", "@fin": "2014-02-21", "@num": "412-14", "@etat": "ABROGE", "@debut": "2011-10-21", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

Lorsque l'OPCVM maître et l'OPCVM nourricier sont gérés par la même société de gestion de portefeuille, l'accord peut être remplacé par des règles de conduite internes assurant le respect des exigences énoncées dans le présent article. Les règles de conduite interne de la société de gestion de portefeuille prévoient des mesures appropriées pour limiter les conflits d'intérêts qui peuvent surgir entre l'OPCVM nourricier et l'OPCVM maître, ou entre l'OPCVM nourricier et d'autres porteurs de l'OPCVM maître, dès lors que ce risque n'est pas suffisamment couvert par les mesures prises par la société de gestion de portefeuille pour empêcher les conflits d'intérêts de porter atteinte aux intérêts de ses clients, en application de l'article L. 533-10 (3°) du code monétaire et financier.

Le contenu de ces règles de conduite est précisé par une instruction de l'AMF.

" } }, "LEGIARTI000026992932": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L532-18-1", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2018-01-03", "DATE_DEBUT": "2014-01-01" } }, "META_COMMUN": { "ID": "LEGIARTI000026992932", "URL": "article/LEGI/ARTI/00/00/26/99/29/LEGIARTI000026992932.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "LEGITEXT000005630278", "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@nortexte": "ECOX0000098R", "@numtexte": "2000-1223", "@typelien": "CODIFICATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2000-12-14" }, { "@id": "LEGIARTI000036892783", "@num": "311-1", "#text": "Arrêté du 12 novembre 2004 - art. 311-1 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000035174056", "@num": "313-78", "#text": "Arrêté du 12 novembre 2004 - art. 313-78 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000035174071", "@num": "313-78-1", "#text": "Arrêté du 12 novembre 2004 - art. 313-78-1 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000026980974", "@num": "1", "#text": "Ordonnance n°2013-79\n du 25 janvier 2013 - art. 1", "@sens": "cible", "@cidtexte": "JORFTEXT000026979102", "@nortexte": "EFIT1233880R", "@numtexte": "2013-79", "@typelien": "MODIFIE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2013-01-25" }, { "@id": "LEGIARTI000043056737", "@num": "272", "#text": "ARRÊTÉ du 3 novembre 2014 - art. 272 (VD)", "@sens": "cible", "@cidtexte": "JORFTEXT000029700770", "@nortexte": "FCPT1423259A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2014-11-03" }, { "@id": "LEGIARTI000043225353", "@num": "9", "#text": "ARRÊTÉ du 3 novembre 2014 - art. 9 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000029701550", "@nortexte": "FCPT1423266A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2014-11-03" }, { "@id": "LEGIARTI000035171880", "#text": "Arrêté du 3 juillet 2017 - art.", "@sens": "cible", "@cidtexte": "JORFTEXT000035168547", "@nortexte": "ECOT1719088A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2017-07-03" }, { "@id": "LEGIARTI000049332367", "@num": "1", "#text": "Arrêté du 18 mars 2024 - art. 1 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000049330539", "@nortexte": "ECOT2405643A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2024-03-18" }, { "@id": "LEGIARTI000020087630", "@num": "L211-36", "#text": "Code monétaire et financier - art. L211-36", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006647574", "@num": "L213-3", "#text": "Code monétaire et financier - art. L213-3", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006652587", "@num": "L421-17", "#text": "Code monétaire et financier - art. L421-17", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006654360", "@num": "L511-21", "#text": "Code monétaire et financier - art. L511-21", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032786286", "@num": "L531-10", "#text": "Code monétaire et financier - art. L531-10 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032786415", "@num": "L532-18-2", "#text": "Code monétaire et financier - art. L532-18-2 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032786410", "@num": "L532-19", "#text": "Code monétaire et financier - art. L532-19 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032786404", "@num": "L532-20", "#text": "Code monétaire et financier - art. L532-20 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000042623846", "@num": "L532-20-1", "#text": "Code monétaire et financier - art. L532-20-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035042984", "@num": "L532-20-1-B", "#text": "Code monétaire et financier - art. L532-20-1-B (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032786382", "@num": "L532-21-1", "#text": "Code monétaire et financier - art. L532-21-1 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000038613966", "@num": "L532-21-3", "#text": "Code monétaire et financier - art. L532-21-3 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000021759239", "@num": "L532-26", "#text": "Code monétaire et financier - art. L532-26 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006658230", "@num": "L545-1", "#text": "Code monétaire et financier - art. L545-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000048526883", "@num": "L561-2", "#text": "Code monétaire et financier - art. L561-2 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043707120", "@num": "L613-32", "#text": "Code monétaire et financier - art. L613-32 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043707171", "@num": "L613-32-1", "#text": "Code monétaire et financier - art. L613-32-1 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035043622", "@num": "L613-33-4", "#text": "Code monétaire et financier - art. L613-33-4 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006661208", "@num": "L621-17-2", "#text": "Code monétaire et financier - art. L621-17-2", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050372905", "@num": "L621-7", "#text": "Code monétaire et financier - art. L621-7 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050371830", "@num": "L621-9", "#text": "Code monétaire et financier - art. L621-9 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050361403", "@num": "L773-42", "#text": "Code monétaire et financier - art. L773-42 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050361355", "@num": "L774-42", "#text": "Code monétaire et financier - art. L774-42 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000045236895", "@num": "L775-36", "#text": "Code monétaire et financier - art. L775-36 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000021949222", "@num": "R532-17", "#text": "Code monétaire et financier - art. R532-17 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000027874889", "@num": "R532-18", "#text": "Code monétaire et financier - art. R532-18 (Ab)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043802850", "@num": "R613-37-1", "#text": "Code monétaire et financier - art. R613-37-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000006184914", "@fin": "2018-01-03", "#text": "Sous-section 2 : Libre prestation de services et liberté d'établissement en France", "@debut": "2001-01-01" }, { "@id": "LEGISCTA000035042856", "@fin": "2999-01-01", "#text": "Sous-section 2 : Libre établissement et libre prestation de services en France (Passeport entrant)", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006170642", "@fin": "2018-01-03", "#text": "Section 2 : Libre établissement et libre prestation de services sur le territoire des Etats parties à l'accord sur l'Espace économique européen", "@debut": "2001-01-01" }, { "@id": "LEGISCTA000032786469", "@fin": "2017-06-28", "#text": "Section 2 : Libre établissement et libre prestation de services sur le territoire des Etats membres de l'Union européenne ou parties à l'accord sur l'Espace économique européen", "@debut": "2018-01-03" }, { "@id": "LEGISCTA000035042858", "@fin": "2999-01-01", "#text": "Section 2 : Libre établissement et libre prestation de services sur le territoire des Etats membres de l'Union européenne ou parties à l'accord sur l'Espace économique européen (Passeports)", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006154696", "@fin": "2999-01-01", "#text": "Chapitre II : Conditions d'exercice de la profession", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006140119", "@fin": "2999-01-01", "#text": "Titre III : Les prestataires de services d'investissement", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006123943", "@fin": "2999-01-01", "#text": "Livre V : Les prestataires de services", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006101336", "@fin": "2999-01-01", "#text": "Partie législative", "@debut": "2001-01-01" } ] }, "@cid": "LEGITEXT000006072026", "@nature": "CODE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Code monétaire et financier", "@debut": "2001-01-01", "@id_txt": "LEGITEXT000006072026", "@c_titre_court": "Code monétaire et financier" } ], "@date_publi": "2999-01-01", "@date_signature": "2999-01-01" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE_MORT_NE", "LIEN_ART": { "@id": "LEGIARTI000006657534", "@fin": "2007-10-19", "@num": "L532-18-1", "@etat": "MODIFIE_MORT_NE", "@debut": "2007-11-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006657535", "@fin": "2008-07-17", "@num": "L532-18-1", "@etat": "MODIFIE", "@debut": "2007-11-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000019202572", "@fin": "2009-01-10", "@num": "L532-18-1", "@etat": "MODIFIE", "@debut": "2008-07-17", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000020096460", "@fin": "2012-01-01", "@num": "L532-18-1", "@etat": "MODIFIE", "@debut": "2009-01-10", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000025019244", "@fin": "2014-01-01", "@num": "L532-18-1", "@etat": "MODIFIE", "@debut": "2012-01-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000026992932", "@fin": "2018-01-03", "@num": "L532-18-1", "@etat": "MODIFIE", "@debut": "2014-01-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE_MORT_NE", "LIEN_ART": { "@id": "LEGIARTI000032751975", "@fin": "2016-06-25", "@num": "L532-18-1", "@etat": "MODIFIE_MORT_NE", "@debut": "2016-07-03", "@origine": "LEGI" } }, { "@etat": "VIGUEUR", "LIEN_ART": { "@id": "LEGIARTI000032786420", "@fin": "2999-01-01", "@num": "L532-18-1", "@etat": "VIGUEUR", "@debut": "2018-01-03", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

Dans la limite des services qu'elle est autorisée à fournir sur le territoire de son Etat d'origine, et en fonction de l'agrément qu'elle y a reçu, toute personne morale ou physique agréée pour fournir des services d'investissement peut, sans préjudice des dispositions des articles L. 511-21 à L. 511-28, établir des succursales pour fournir des services d'investissement et des services connexes sur le territoire de la France métropolitaine, des départements d'outre-mer, du Département de Mayotte et de Saint-Martin.

Lorsqu'un prestataire de services d'investissement ayant son siège social dans un autre Etat membre recourt à des agents liés mentionnés à l'article L. 545-1, établis sur le territoire de la France métropolitaine, des départements d'outre-mer, du Département de Mayotte et de Saint-Martin, ces agents sont assimilés à une succursale.

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Les entreprises établies en France et qui font partie d'un groupe financier ou d'un groupe comprenant au moins une société financière ou, pour l'application du 2° du présent article, d'un groupe au sens des articles L. 322-1-2, L. 322-1-3 et L. 334-2 du code des assurances et au sens des articles L. 111-4-2 et L. 212-7-1 du code de la mutualité et L. 933-2 du code de la sécurité sociale, ou d'un groupe mixte ou d'un conglomérat financier auquel appartiennent des établissements de crédit ou entreprises d'investissement ayant leur siège social dans un Etat membre de la Communauté européenne ou Etat partie à l'accord sur l'Espace économique européen ou dans un Etat où sont applicables les accords prévus aux articles L. 632-7, L. 632-13 et L. 632-16 du présent code sont tenues, nonobstant toutes dispositions contraires, de transmettre à des entreprises du même groupe ayant leur siège social dans l'un de ces Etats :

2° Les informations nécessaires à l'organisation de la lutte contre le blanchiment des capitaux et contre le financement du terrorisme ;

3° Les informations nécessaires à l'organisation de la détection des opérations d'initié ou des manipulations de cours mentionnées à l'article L. 621-17-2 ;

4° Les informations nécessaires à la gestion des conflits d'intérêts au sens du 3 de l'article L. 533-10.

Les dispositions du présent article ne font pas obstacle à l'application de la loi n° 78-17 du 6 janvier 1978 relative à l'informatique, aux fichiers et aux libertés.

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La notification des transactions intragroupe prévue aux articles 4 et 11 du même règlement s'effectue auprès de l'Autorité des marchés financiers lorsque la contrepartie est une contrepartie non financière ou une personne ou entité mentionnée aux 7° et 7° bis du II de l'article L. 621-9.

L'Autorité des marchés financiers est également compétente pour le contrôle des dispositions de l'article 11 dudit règlement pour les personnes ou entités mentionnées aux mêmes 7° et 7° bis du II de l'article L. 621-9, les contreparties non financières ainsi que les prestataires de services d'investissement dans les conditions prévues aux articles L. 621-9 et L. 533-10.

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I. – Les dispositions du premier alinéa de l'article L. 532-18 et du premier alinéa de l'article L. 532-18-1 ainsi que les dispositions de la section 2 du chapitre IV du titre Ier du livre II sont applicables aux sociétés de gestion établies dans un autre Etat membre de l'Union européenne qui gèrent un ou plusieurs FIA de droit français.

II. – L'Autorité des marchés financiers surveille le respect par les sociétés de gestion mentionnées au I des dispositions de l'article L. 533-11 et du 3 de l'article L. 533-10 lorsque ces sociétés de gestion gèrent un FIA ou en commercialise les parts ou actions en libre établissement.

III. – L'Autorité des marchés financiers peut exiger d'une société de gestion mentionnée au I, qui gère un FIA ou en commercialise les parts ou actions, qu'elle fournisse les informations nécessaires à la surveillance du respect par cette société de gestion des règles relevant de la compétence de cette autorité.

Lorsque l'Autorité des marchés financiers constate qu'une société de gestion mentionnée au I, qui gère un FIA ou en commercialise les parts ou actions, ne respecte pas l'une des règles relevant de sa compétence, elle exige que cette société mette fin à l'infraction et en informe les autorités compétentes de son Etat membre d'origine.

Lorsque la société de gestion refuse de lui fournir les informations mentionnées au premier alinéa ou ne prend pas les dispositions nécessaires pour mettre fin à l'infraction mentionnée au deuxième alinéa, l'Autorité des marchés financiers en informe les autorités compétentes de l'Etat membre d'origine de la société de gestion.

Si, en dépit des mesures prises par les autorités compétentes de l'Etat membre d'origine de la société de gestion ou lorsque ces mesures se révèlent inadéquates ou ne sont pas envisageables dans l'Etat membre concerné, la société de gestion continue de refuser de fournir les informations demandées par l'Autorité des marchés financiers en application du premier alinéa ou persiste à enfreindre les règles mentionnées au deuxième alinéa, cette autorité peut, après en avoir informé les autorités compétentes de l'Etat membre d'origine de la société de gestion, prendre des mesures appropriées, en vertu de ses pouvoirs prévus par les livres V et VI, pour prévenir ou sanctionner de nouvelles irrégularités et, dans la mesure où cela s'avère nécessaire, empêcher cette société d'effectuer de nouvelles opérations en France métropolitaine, dans les départements d'outre-mer, dans le Département de Mayotte et à Saint-Martin.

Lorsque l'activité de la société de gestion sur ces territoires consiste à gérer des FIA, l'Autorité des marchés financiers peut exiger qu'elle mette un terme à la gestion de ces FIA.

Si l'Autorité des marchés financiers a des raisons claires et démontrables de considérer que la société de gestion enfreint des obligations ne relevant pas de sa compétence, elle en fait part aux autorités de l'Etat membre d'origine de la société de gestion.

Si, en dépit des mesures prises par l'autorité compétente de l'Etat d'origine ou en raison du caractère inadéquat de ces mesures ou en l'absence d'action dans un délai raisonnable de sa part, la société de gestion continue d'agir d'une manière clairement préjudiciable aux intérêts des porteurs ou actionnaires du FIA concerné, de la stabilité financière, ou de l'intégrité du marché français, l'Autorité des marchés financiers, après en avoir informé l'autorité compétente de l'Etat d'origine de la société de gestion, prend les mesures nécessaires pour protéger les porteurs de parts ou actionnaires du FIA concerné, la stabilité financière et l'intégrité du marché français, y compris l'interdiction pour la société de gestion de continuer à commercialiser des parts ou actions du FIA concerné sur le territoire de la France métropolitaine, des départements d'outre-mer, du Département de Mayotte et de Saint-Martin.

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La société de gestion de portefeuille dispose d'un programme d'activité conforme au chapitre III.
\n
Le programme d'activité contient également des informations sur les politiques et pratiques de rémunération mises en place en application de l'article L. 533-22-2 du code monétaire et financier ainsi que des informations concernant les FIA que la société de gestion de portefeuille prévoit de gérer :
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1° Des informations sur les stratégies d'investissement, y compris les types de fonds sous-jacents si le FIA est un fonds de fonds, la politique de la société de gestion de portefeuille en ce qui concerne l'utilisation de l'effet de levier et sur les profils de risque et autres caractéristiques des FIA qu'elle gère ou prévoit de gérer, y compris des informations sur les Etats membres de l'Union européenne ou sur les pays tiers dans lesquels ces FIA sont établis ou dans lesquels il est prévu qu'ils soient établis ;
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2° Des informations sur le lieu où le FIA maître est établi si le FIA est un FIA nourricier ;
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3° Le règlement ou les statuts de chaque FIA que la société de gestion de portefeuille prévoit de gérer ;
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4° Des informations sur les modalités prévues pour la désignation du dépositaire pour chaque FIA concerné ;
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5° Pour chaque FIA que la société de gestion de portefeuille gère ou prévoit de gérer, toute information supplémentaire mise à la disposition des investisseurs application du troisième alinéa de l'article L. 214-24-19 du code monétaire et financier et précisées par une instruction de l'AMF.
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Outre la gestion de FIA, la société de gestion de portefeuille ne peut fournir que les services d'investissement de réception transmission d'ordres pour compte de tiers, de gestion de portefeuille pour compte de tiers et de conseil en investissement.
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Dans ce cas, elle doit se soumettre aux obligations des prestataires de services d'investissement prévues au 2° de l'article L. 532-3 et aux articles L. 533-10 et suivants et L. 533-11 et suivants du code monétaire et financier.
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Une instruction de l'AMF précise les conditions d'application du présent article.

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Lorsque l'OPCVM ou le FIA maître et le fonds d'investissement à vocation générale nourricier sont gérés par la même société de gestion de portefeuille, l'accord peut être remplacé par des règles de conduite internes assurant le respect des exigences énoncées dans le présent article. Les règles de conduite interne de la société de gestion de portefeuille prévoient des mesures appropriées pour limiter les conflits d'intérêts qui peuvent surgir entre le fonds d'investissement à vocation générale nourricier et l'OPCVM ou le FIA maître, ou entre le fonds d'investissement à vocation générale nourricier et d'autres porteurs de l'OPCVM ou du FIA maître, dès lors que ce risque n'est pas suffisamment couvert par les mesures prises par la société de gestion de portefeuille pour empêcher les conflits d'intérêts de porter atteinte aux intérêts de ses clients, en application de l'article L. 533-10 (3°) du code monétaire et financier.

Le contenu de ces règles de conduite est précisé par une instruction de l'AMF.

\n
" } }, "LEGIARTI000028421614": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "313-49", "ETAT": "ABROGE", "TYPE": "AUTONOME", "DATE_FIN": "2018-01-03", "DATE_DEBUT": "2013-12-21" } }, "META_COMMUN": { "ID": "LEGIARTI000028421614", "URL": "article/LEGI/ARTI/00/00/28/42/16/LEGIARTI000028421614.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "LEGIARTI000028348598", "#text": "Arrêté du 11 décembre 2013 - art.", "@sens": "cible", "@cidtexte": "JORFTEXT000028346019", "@nortexte": "EFIT1329217A", "@typelien": "MODIFIE", "@naturetexte": "ARRETE", "@datesignatexte": "2013-12-11" }, { "@id": "LEGIARTI000036830462", "#text": "Arrêté du 20 décembre 2017 - art.", "@sens": "cible", "@cidtexte": "JORFTEXT000036249833", "@nortexte": "ECOT1735827A", "@typelien": "ABROGE", "@naturetexte": "ARRETE", "@datesignatexte": "2017-12-20" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657793", "@num": "L533-8", "#text": "Code monétaire et financier - art. L533-8", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000025792841", "@fin": "2018-01-03", "#text": "Sous-section 8 : Enregistrements et conservation des données", "@debut": "2007-11-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025780215", "@fin": "2018-01-03", "#text": "Section 1 : Règles d'organisation applicables \r\nà l'ensemble des prestataires de services d'investissement", "@debut": "2007-11-01" }, { "@id": "LEGISCTA000036892971", "@fin": "2999-01-01", "#text": "Section 1 : Obligations en matière de gouvernance des instruments financiers applicables aux producteurs", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025780200", "@fin": "2018-01-03", "#text": "Chapitre III : Règles d'organisation", "@debut": "2007-11-01" }, { "@id": "LEGISCTA000036892985", "@fin": "2999-01-01", "#text": "Chapitre III : Exigences en matière de gouvernance des instruments financiers", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025363847", "@fin": "2007-11-01", "#text": "TITRE IER : Services", "@debut": "2004-11-25" }, { "@id": "LEGISCTA000025742926", "@fin": "2999-01-01", "#text": "TITRE IER : Prestataires de services d'investissement", "@debut": "2007-11-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025363846", "@fin": "2999-01-01", "#text": "LIVRE III : Prestataires", "@debut": "2004-11-25" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025347548", "@fin": "2999-01-01", "#text": "REGLEMENT GENERAL DE L'AUTORITE DES MARCHES FINANCIERS (RGAMF)", "@debut": "2004-11-25" } ] }, "@cid": "JORFTEXT000000606599", "@nor": "ECOT0420062A", "@nature": "ARRETE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Arrêté du 12 novembre 2004 portant homologation des livres II à VI du règlement général de l'Autorité des marchés financiers", "@debut": "2999-01-01", "@id_txt": "JORFTEXT000000606599", "@c_titre_court": "Arrêté du 12 novembre 2004" }, { "@fin": "2999-01-01", "#text": "Arrêté du 12 novembre 2004 portant homologation des livres II à VI du règlement général de l'Autorité des marchés financiers (RGAMF)", "@debut": "2004-11-25", "@id_txt": "LEGITEXT000022441606", "@c_titre_court": "Arrêté du 12 novembre 2004" } ], "@ministere": "MINISTERE DE L'ECONOMIE, DES FINANCES ET DE L'INDUSTRIE", "@date_publi": "2004-11-24", "@date_signature": "2004-11-12", "@num_parution_jo": "0273" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000025792856", "@fin": "2011-10-21", "@num": "313-49", "@etat": "MODIFIE", "@debut": "2012-05-03", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000025920705", "@fin": "2013-12-21", "@num": "313-49", "@etat": "MODIFIE", "@debut": "2011-10-21", "@origine": "LEGI" } }, { "@etat": "ABROGE", "LIEN_ART": { "@id": "LEGIARTI000028421614", "@fin": "2018-01-03", "@num": "313-49", "@etat": "ABROGE", "@debut": "2013-12-21", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

-Le prestataire de services d'investissement conserve les enregistrements mentionnés à l'article L. 533-8 et au 5 de l'article L. 533-10 du code monétaire et financier pendant au moins cinq ans.

Les conventions qui fixent les droits et obligations respectifs du prestataire de services d'investissement et d'un client dans le cadre d'un contrat de prestation de services, ou les conditions que le prestataire de services d'investissement applique pour la fourniture de services au client, sont conservées au moins pendant toute la durée de la relation avec le client.

En cas de retrait de l'agrément du prestataire de services d'investissement, l'AMF peut exiger que celui-ci s'assure de la conservation de tous les enregistrements concernés jusqu'à l'échéance de la période de cinq ans prévue au premier alinéa.

L'AMF peut, dans des circonstances exceptionnelles, exiger du prestataire de services d'investissement qu'il conserve tout ou partie de ces enregistrements sur une période plus longue, dans la limite justifiée par la nature de l'instrument ou de la transaction, si cela lui est indispensable pour exercer ses fonctions de contrôle.

Lorsque la gestion du placement collectif mentionné à l'article 311-1 A est assurée par un nouveau prestataire de services d'investissement, celui-ci doit avoir accès aux enregistrements des cinq dernières années.

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I. - L'information communiquée aux clients en application du 3 de l'article L. 533-10 du code monétaire et financier est fournie sur un support durable.

Elle est suffisamment détaillée, eu égard aux caractéristiques du client afin que celui-ci puisse prendre une décision en connaissance de cause.

II. - Pour l'activité de gestion d'un placement collectif mentionné à l'article 311-1 A, lorsque les dispositions organisationnelles ou administratives prises par le prestataire de services d'investissement en vue de gérer les conflits d'intérêts ne suffisent pas à garantir, avec une certitude raisonnable, que le risque de porter atteinte aux intérêts du placement collectif mentionné à l'article 311-1 A ou de ses porteurs de parts ou actionnaires sera évité, les dirigeants ou l'organe interne compétent du prestataire de services d'investissement sont informés dans les meilleurs délais afin qu'ils puissent prendre toute mesure nécessaire pour garantir que le prestataire de services d'investissement agira dans tous les cas au mieux des intérêts du placement collectif mentionné à l'article 311-1 A et de ses porteurs de parts ou actionnaires.

Les porteurs de parts ou actionnaires du placement collectif mentionné à l'article 311-1 A sont informés sur un support durable des raisons de la décision du prestataire de services d'investissement.

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Le prestataire de services d'investissement veille à ce que le commissaire aux comptes fasse un rapport au moins tous les ans à l'AMF sur l'adéquation des dispositions prises par le prestataire de services d'investissement, en application du 6° de l'article L. 533-10 du code monétaire et financier et de la présente sous-section.

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La société de gestion de portefeuille dispose d'un programme d'activité conforme au chapitre III.

Le programme d'activité contient également des informations sur les politiques et pratiques de rémunération mises en place en application de l'article L. 533-22-2 du code monétaire et financier ainsi que des informations concernant les FIA que la société de gestion de portefeuille prévoit de gérer :

1° Des informations sur les stratégies d'investissement, y compris les types de fonds sous-jacents si le FIA est un fonds de fonds, la politique de la société de gestion de portefeuille en ce qui concerne l'utilisation de l'effet de levier et sur les profils de risque et autres caractéristiques des FIA qu'elle gère ou prévoit de gérer, y compris des informations sur les Etats membres de l'Union européenne ou sur les pays tiers dans lesquels ces FIA sont établis ou dans lesquels il est prévu qu'ils soient établis ;

2° Des informations sur le lieu où le FIA maître est établi si le FIA est un FIA nourricier ;

3° Le règlement ou les statuts de chaque FIA que la société de gestion de portefeuille prévoit de gérer ;

4° Des informations sur les modalités prévues pour la désignation du dépositaire pour chaque FIA concerné ;

5° Pour chaque FIA que la société de gestion de portefeuille gère ou prévoit de gérer, toute information supplémentaire mise à la disposition des investisseurs en application du troisième alinéa de l'article L. 214-24-19 du code monétaire et financier et précisées par une instruction de l'AMF.

Outre la gestion de FIA, la société de gestion de portefeuille ne peut fournir que les services d'investissement de réception transmission d'ordres pour compte de tiers, de gestion de portefeuille pour compte de tiers et de conseil en investissement.

Dans ce cas, elle doit se soumettre aux obligations des prestataires de services d'investissement prévues au 2° de l'article L. 532-3 et aux articles L. 533-10 et suivants et L. 533-11 et suivants du code monétaire et financier.

Une instruction de l'AMF précise les conditions d'application du présent article.

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Lorsque l'OPCVM maître et l'OPCVM nourricier sont agréés par l'AMF, l'accord entre ces deux OPCVM est soumis au droit français et relève de la compétence exclusive des juridictions françaises.

Lorsque l'OPCVM maître ou l'OPCVM nourricier est établi dans un autre Etat membre de l'Union européenne ou dans un autre Etat partie à l'accord sur l'Espace économique européen, l'accord doit stipuler que le droit applicable est le droit du lieu où est établi l'OPCVM maître ou celui du lieu où est établi l'OPCVM nourricier et que les deux parties reconnaissent la compétence exclusive des juridictions de l'Etat dont le droit est désigné comme applicable à cet accord.

Lorsque l'OPCVM maître et l'OPCVM nourricier sont gérés par la même société de gestion, l'accord peut être remplacé par des règles de conduite internes assurant le respect des exigences énoncées dans la présente section.

Les règles de conduite internes de la société de gestion prévoient des mesures appropriées pour limiter les conflits d'intérêts qui peuvent surgir entre l'OPCVM nourricier et l'OPCVM maître, ou entre l'OPCVM nourricier et d'autres porteurs de l'OPCVM maître, dès lors que ce risque n'est pas suffisamment couvert par les mesures prises par la société de gestion pour empêcher les conflits d'intérêts de porter atteinte aux intérêts de ses clients, en application du 3° de l'article L. 533-10 du code monétaire et financier.

Le contenu de ces règles de conduite est précisé par une instruction de l'AMF.

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Les entreprises établies en France et qui font partie d'un groupe financier ou d'un groupe comprenant au moins une société de financement ou, pour l'application du 2° du présent article, d'un groupe au sens des articles L. 322-1-2, L. 322-1-3 et L. 334-2 du code des assurances et au sens des articles L. 111-4-2 et L. 212-7-1 du code de la mutualité et L. 933-2 du code de la sécurité sociale, ou d'un groupe mixte ou d'un conglomérat financier auquel appartiennent des établissements de crédit ou entreprises d'investissement ayant leur siège social dans un Etat membre de la Communauté européenne ou Etat partie à l'accord sur l'Espace économique européen ou dans un Etat où sont applicables les accords prévus aux articles L. 632-7, L. 632-13 et L. 632-16 du présent code sont tenues, nonobstant toutes dispositions contraires, de transmettre à des entreprises du même groupe ayant leur siège social dans l'un de ces Etats :

2° Les informations nécessaires à l'organisation de la lutte contre le blanchiment des capitaux et contre le financement du terrorisme ;

3° Les informations nécessaires à l'organisation de la détection des opérations d'initié ou des manipulations de cours mentionnées à l'article L. 621-17-2 ;

4° Les informations nécessaires à la gestion des conflits d'intérêts au sens du 3 de l'article L. 533-10.

Les dispositions du présent article ne font pas obstacle à l'application de la loi n° 78-17 du 6 janvier 1978 relative à l'informatique, aux fichiers et aux libertés.

" } }, "LEGIARTI000028635384": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L511-34", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2016-01-01", "DATE_DEBUT": "2014-02-22" } }, "META_COMMUN": { "ID": "LEGIARTI000028635384", "URL": "article/LEGI/ARTI/00/00/28/63/53/LEGIARTI000028635384.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@typelien": "CODIFICATION" }, { "@id": "JORFTEXT000000886460", "#text": "LOI n° 78-17 du 6 janvier 1978", "@sens": "source", "@cidtexte": "JORFTEXT000000886460", "@numtexte": "78-17", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "1978-01-06" }, { "@id": "LEGIARTI000025918602", "@num": "315-55", "#text": "Arrêté du 12 novembre 2004 - art. 315-55 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000043414077", "@num": "320-20", "#text": "Arrêté du 12 novembre 2004 - art. 320-20 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000043414121", "@num": "321-147", "#text": "Arrêté du 12 novembre 2004 - art. 321-147 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000037541870", "@num": "550-10", "#text": "Arrêté du 12 novembre 2004 - art. 550-10 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000026208019", "@num": "560-13", "#text": "Arrêté du 12 novembre 2004 - art. 560-13 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000020858524", "@num": "5", "#text": "Ordonnance n°2009-865\n du 15 juillet 2009 - art. 5 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000020856565", "@nortexte": "ECET0908445R", "@numtexte": "2009-865", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2009-07-15" }, { "@id": "LEGIARTI000028626773", "@num": "3", "#text": "Ordonnance n°2014-158\n du 20 février 2014 - art. 3", "@sens": "cible", "@cidtexte": "JORFTEXT000028625279", "@nortexte": "EFIT1327482R", "@numtexte": "2014-158", "@typelien": "MODIFIE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2014-02-20" }, { "@id": "LEGIARTI000029703510", "@num": "68", "#text": "ARRÊTÉ du 3 novembre 2014 - art. 68 (VT)", "@sens": "cible", "@cidtexte": "JORFTEXT000029700770", "@nortexte": "FCPT1423259A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2014-11-03" }, { "@id": "LEGIARTI000032754237", "@num": "26", "#text": "Ordonnance n°2016-827 du 23 juin 2016 - art. 26", "@sens": "cible", "@cidtexte": "JORFTEXT000032752983", "@nortexte": "FCPT1604110R", "@numtexte": "2016-827", "@typelien": "CONCORDE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2016-06-23" }, { "@id": "LEGIARTI000043053301", "@num": "22", "#text": "Arrêté du 6 janvier 2021 - art. 22 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000042992976", "@nortexte": "ECOT2100415A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2021-01-06" }, { "@id": "LEGIARTI000029722028", "@num": "L511-24", "#text": "Code monétaire et financier - art. 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L735-1-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006664625", "@num": "L745-1", "#text": "Code monétaire et financier - art. L745-1 (T)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000042735829", "@num": "L745-1-1", "#text": "Code monétaire et financier - art. L745-1-1 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006666048", "@num": "L755-1", "#text": "Code monétaire et financier - art. L755-1 (T)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000042735800", "@num": "L755-1-1", "#text": "Code monétaire et financier - art. L755-1-1 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006667318", "@num": "L765-1", "#text": "Code monétaire et financier - art. L765-1 (T)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000042735785", "@num": "L765-1-1", "#text": "Code monétaire et financier - art. L765-1-1 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000047849522", "@num": "L773-4", "#text": "Code monétaire et financier - art. L773-4 (M)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000047849504", "@num": "L774-4", "#text": "Code monétaire et financier - art. L774-4 (M)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000047849486", "@num": "L775-4", "#text": "Code monétaire et financier - art. L775-4 (M)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006686444", "@num": "R562-2-1", "#text": "Code monétaire et financier - art. 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L111-4-2", "@sens": "source", "@cidtexte": "LEGITEXT000006074067", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006792246", "@num": "L212-7-1", "#text": "Code de la mutualité - art. L212-7-1", "@sens": "source", "@cidtexte": "LEGITEXT000006074067", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000006170527", "@fin": "2999-01-01", "#text": "Section 5 : Le secret professionnel", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006154608", "@fin": "2014-01-01", "#text": "Chapitre Ier : Règles générales applicables aux établissements de crédit", "@debut": "2001-01-01" }, { "@id": "LEGISCTA000027643755", "@fin": "2999-01-01", "#text": "Chapitre Ier : Dispositions générales", "@debut": "2014-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006140044", "@fin": "2014-01-01", "#text": "Titre Ier : Etablissements du secteur bancaire", "@debut": "2001-01-01" }, { "@id": "LEGISCTA000027643757", "@fin": "2014-02-22", "#text": "Titre Ier : Prestataires de services bancaire", "@debut": "2014-01-01" }, { "@id": "LEGISCTA000028635775", "@fin": "2999-01-01", "#text": "Titre Ier : Prestataires de services bancaires", "@debut": "2014-02-22" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006123943", "@fin": "2999-01-01", "#text": "Livre V : Les prestataires de services", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006101336", "@fin": "2999-01-01", "#text": "Partie législative", "@debut": "2001-01-01" } ] }, "@cid": "LEGITEXT000006072026", "@nature": "CODE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Code monétaire et financier", "@debut": "2001-01-01", "@id_txt": "LEGITEXT000006072026", "@c_titre_court": "Code monétaire et financier" } ], "@date_publi": "2999-01-01", "@date_signature": "2999-01-01" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006654606", "@fin": "2003-08-02", "@num": "L511-34", "@etat": "MODIFIE", "@debut": "2001-01-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006654607", "@fin": "2004-11-16", "@num": "L511-34", "@etat": "MODIFIE", "@debut": "2003-08-02", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006654608", "@fin": "2007-11-01", "@num": "L511-34", "@etat": "MODIFIE", "@debut": "2004-11-16", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006654609", "@fin": "2008-08-06", "@num": "L511-34", "@etat": "MODIFIE", "@debut": "2007-11-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000019300578", "@fin": "2010-07-03", "@num": "L511-34", "@etat": "MODIFIE", "@debut": "2008-08-06", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000022422909", "@fin": "2014-01-01", "@num": "L511-34", "@etat": "MODIFIE", "@debut": "2010-07-03", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000027643598", "@fin": "2014-01-04", "@num": "L511-34", "@etat": "MODIFIE", "@debut": "2014-01-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000028441208", "@fin": "2014-02-22", "@num": "L511-34", "@etat": "MODIFIE", "@debut": "2014-01-04", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000028635384", "@fin": "2016-01-01", "@num": "L511-34", "@etat": "MODIFIE", "@debut": "2014-02-22", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000030437945", "@fin": "2016-07-03", "@num": "L511-34", "@etat": "MODIFIE", "@debut": "2016-01-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000032751957", "@fin": "2018-01-03", "@num": "L511-34", "@etat": "MODIFIE", "@debut": "2016-07-03", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000032787471", "@fin": "2020-02-14", "@num": "L511-34", "@etat": "MODIFIE", "@debut": "2018-01-03", "@origine": "LEGI" } }, { "@etat": "VIGUEUR", "LIEN_ART": { "@id": "LEGIARTI000041577687", "@fin": "2999-01-01", "@num": "L511-34", "@etat": "VIGUEUR", "@debut": "2020-02-14", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

Les entreprises établies en France et qui font partie d'un groupe financier ou d'un groupe comprenant au moins une société de financement ou, pour l'application du 2° du présent article, d'un groupe au sens des articles L. 322-1-2, L. 322-1-3 et L. 334-2 du code des assurances et au sens des articles L. 111-4-2 et L. 212-7-1 du code de la mutualité et L. 933-2 du code de la sécurité sociale, ou d'un groupe mixte ou d'un conglomérat financier auquel appartiennent des entités réglementées au sens de l'article L. 517-2 ayant leur siège social dans un Etat membre de l'Union européenne ou Etat partie à l'accord sur l'Espace économique européen ou dans un Etat où sont applicables les accords prévus aux articles L. 632-7, L. 632-13 et L. 632-16 du présent code sont tenues, nonobstant toutes dispositions contraires, de transmettre à des entreprises du même groupe ayant leur siège social dans l'un de ces Etats :

1° Les renseignements relatifs à leur situation financière nécessaires à l'organisation de la surveillance sur base consolidée et de la surveillance complémentaire de ces entités réglementées ou sociétés de financement ;

2° Les informations nécessaires à l'organisation de la lutte contre le blanchiment des capitaux et contre le financement du terrorisme ;

3° Les informations nécessaires à l'organisation de la détection des opérations d'initié ou des manipulations de cours mentionnées à l'article L. 621-17-2 ;

4° Les informations nécessaires à la gestion des conflits d'intérêts au sens du 3 de l'article L. 533-10.

Les dispositions du présent article ne font pas obstacle à l'application de la loi n° 78-17 du 6 janvier 1978 relative à l'informatique, aux fichiers et aux libertés.

" } }, "LEGIARTI000029025888": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L745-11", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2015-07-17", "DATE_DEBUT": "2014-10-01" } }, "META_COMMUN": { "ID": "LEGIARTI000029025888", "URL": "article/LEGI/ARTI/00/00/29/02/58/LEGIARTI000029025888.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "JORFTEXT000000193847", "#text": "Loi 96-597 1996-07-02 art. 107 II", "@sens": "source", "@cidtexte": "JORFTEXT000000193847", "@nortexte": "ECOX9500164L", "@numtexte": "96-597", "@typelien": "CONCORDANCE", "@naturetexte": "LOI", "@datesignatexte": "1996-07-02" }, { "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@typelien": "CODIFICATION" }, { "@id": "LEGIARTI000029011047", "@num": "27", "#text": "Ordonnance n°2014-559\n du 30 mai 2014 - art. 27", "@sens": "cible", "@cidtexte": "JORFTEXT000029008408", "@nortexte": "FCPX1406454R", "@numtexte": "2014-559", "@typelien": "MODIFIE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2014-05-30" }, { "@id": "LEGIARTI000029393566", "@num": "5", "#text": "ORDONNANCE n°2014-946 du 20 août 2014 - art. 5 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000029391124", "@nortexte": "FCPT1409820R", "@numtexte": "2014-946", "@typelien": "MODIFICATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2014-08-20" }, { "@id": "LEGIARTI000035014385", "@num": "19", "#text": "Ordonnance n°2017-1107 du 22 juin 2017 - art. 19", "@sens": "cible", "@cidtexte": "JORFTEXT000035013490", "@nortexte": "ECOT1706653R", "@numtexte": "2017-1107", "@typelien": "CONCORDE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2017-06-22" }, { "@id": "LEGIARTI000029012418", "@num": "L227-2-1", "#text": "Code de commerce - art. 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L573-1 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000006185019", "@fin": "2022-02-26", "#text": "Sous-section 3 : Les obligations des prestataires de services d'investissement", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006170763", "@fin": "2022-02-26", "#text": "Section 3 : Les prestataires de services d'investissement", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006154751", "@fin": "2022-02-26", "#text": "Chapitre V : Les prestataires de services", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006140189", "@fin": "2022-02-26", "#text": "Titre IV : Dispositions applicables en Nouvelle-Calédonie", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006124131", "@fin": "2022-02-26", "#text": "Livre VII : Régime de l'outre-mer", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006101336", "@fin": "2999-01-01", "#text": "Partie législative", "@debut": "2001-01-01" } ] }, "@cid": "LEGITEXT000006072026", "@nature": "CODE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Code monétaire et financier", "@debut": "2001-01-01", "@id_txt": "LEGITEXT000006072026", "@c_titre_court": "Code monétaire et financier" } ], "@date_publi": "2999-01-01", "@date_signature": "2999-01-01" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006665016", "@fin": "2009-07-17", "@num": "L745-11", "@etat": "MODIFIE", "@debut": "2001-01-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000020860507", "@fin": "2014-08-24", "@num": "L745-11", "@etat": "MODIFIE", "@debut": "2009-07-17", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000029404123", "@fin": "2014-10-01", "@num": "L745-11", "@etat": "MODIFIE", "@debut": "2014-08-24", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000029025888", "@fin": "2015-07-17", "@num": "L745-11", "@etat": "MODIFIE", "@debut": "2014-10-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000030897807", "@fin": "2016-12-11", "@num": "L745-11", "@etat": "MODIFIE", "@debut": "2015-07-17", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000033615152", "@fin": "2018-01-03", "@num": "L745-11", "@etat": "MODIFIE", "@debut": "2016-12-11", "@origine": "LEGI" } }, { "@etat": "MODIFIE_MORT_NE", "LIEN_ART": { "@id": "LEGIARTI000032786953", "@fin": "2017-06-28", "@num": "L745-11", "@etat": "MODIFIE_MORT_NE", "@debut": "2018-01-03", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000035044990", "@fin": "2019-05-24", "@num": "L745-11", "@etat": "MODIFIE", "@debut": "2018-01-03", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000038615534", "@fin": "2020-12-29", "@num": "L745-11", "@etat": "MODIFIE", "@debut": "2019-05-24", "@origine": "LEGI" } }, { "@etat": "ABROGE", "LIEN_ART": { "@id": "LEGIARTI000042735922", "@fin": "2022-02-26", "@num": "L745-11", "@etat": "ABROGE", "@debut": "2020-12-29", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

I.-Le chapitre III du titre III du livre V est applicable en Nouvelle-Calédonie, à l'exception de l'article L. 533-4-1 et sous réserve des adaptations prévues au II.

II.-1° Pour l'application de l'article L. 533-2, le premier alinéa est remplacé par les alinéas suivants :

\" Les prestataires de services d'investissement disposent de procédures administratives saines, de mécanismes de contrôle interne, de techniques efficaces d'évaluation des risques, de dispositifs efficaces de contrôle et de sauvegarde de leurs systèmes informatiques et de techniques d'atténuation des risques pour les contrats dérivés de gré à gré. Ils veillent à disposer de procédures et de dispositifs permettant de mesurer, de surveiller et d'atténuer le risque opérationnel et le risque de crédit de la contrepartie, et notamment :

\" a) De la confirmation rapide, lorsque c'est possible par des moyens électroniques, des termes du contrat dérivé de gré à gré concerné ;

\" b) Des procédures formalisées solides, résilientes et pouvant faire l'objet d'un audit permettant de rapprocher les portefeuilles, de gérer le risque associé, de déceler rapidement les éventuels différends entre parties et de les régler, et de surveiller la valeur des contrats en cours \" ;

2° Pour l'application de l'article L. 533-4 :

a) Au premier alinéa, les mots : \" Etat non membre de l'Union européenne ni partie à l'accord sur l'Espace économique européen \" sont remplacés par les mots : \" Etat autre que la France \" et les mots : \" ou d'une autre entité réglementée agréée dans un Etat membre de l'Union européenne ou dans un autre Etat partie à l'accord sur l'Espace économique européen \" sont supprimés ;

b) Au deuxième alinéa, les mots : \" l'Autorité bancaire européenne et \" et les mots : \" des autres Etats membres de l'Union européenne ou des autres Etats parties à l'accord sur l'Espace économique européen \" sont supprimés ;

c) Le dernier alinéa est supprimé ;

3° Pour l'application de l'article L. 533-10, les mots : \" celles prévues à l'article 11 du règlement (UE) n° 648/2012 du Parlement européen et du Conseil du 4 juillet 2012 sur les produits dérivés de gré à gré, les contreparties centrales et les référentiels centraux \" sont remplacés par les mots : \" celles prévues par le 1° du II de l'article L. 745-11 \".

Pour l'application de l'article L. 533-22-3, les références à l'article L. 227-2-1 du code de commerce sont remplacées par les références aux dispositions applicables localement ayant le même objet.

III.-Les articles L. 573-1 à L. 573-7 s'y appliquent également.

" } }, "LEGIARTI000029404283": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L755-11", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2014-10-01", "DATE_DEBUT": "2014-08-24" } }, "META_COMMUN": { "ID": "LEGIARTI000029404283", "URL": "article/LEGI/ARTI/00/00/29/40/42/LEGIARTI000029404283.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "LEGIARTI000006297860", "@num": "49", "#text": "Loi n°83-1 du 3 janvier 1983 - art. 49 (Ab)", "@sens": "source", "@cidtexte": "JORFTEXT000000691996", "@numtexte": "83-1", "@typelien": "CONCORDANCE", "@naturetexte": "LOI", "@datesignatexte": "1983-01-03" }, { "@id": "JORFTEXT000000193847", "#text": "Loi 96-597 1996-07-02 art. 107 II", "@sens": "source", "@cidtexte": "JORFTEXT000000193847", "@nortexte": "ECOX9500164L", "@numtexte": "96-597", "@typelien": "CONCORDANCE", "@naturetexte": "LOI", "@datesignatexte": "1996-07-02" }, { "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@typelien": "CODIFICATION" }, { "@id": "LEGIARTI000029393582", "@num": "13", "#text": "ORDONNANCE n°2014-946 du 20 août 2014 - art. 13 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000029391124", "@nortexte": "FCPT1409820R", "@numtexte": "2014-946", "@typelien": "MODIFIE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2014-08-20" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. 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I.-Le chapitre III du titre III du livre V est applicable en Polynésie française, à l'exception de l'article L. 533-4-1 et sous réserve des adaptations prévues au II.

II.-1° Pour l'application de l'article L. 533-2, le premier alinéa est remplacé par les alinéas suivants :

\" a) De la confirmation rapide, lorsque c'est possible par des moyens électroniques, des termes du contrat dérivé de gré à gré concerné ;

2° Pour l'application de l'article L. 533-4 :

c) Le dernier alinéa est supprimé ;

III.-Les articles L. 573-1 à L. 573-7 s'y appliquent également.

" } }, "LEGIARTI000029404408": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L765-11", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2015-07-17", "DATE_DEBUT": "2014-08-24" } }, "META_COMMUN": { "ID": "LEGIARTI000029404408", "URL": "article/LEGI/ARTI/00/00/29/40/44/LEGIARTI000029404408.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "JORFTEXT000000193847", "#text": "Loi 96-597 1996-07-02 art. 107 II", "@sens": "source", "@cidtexte": "JORFTEXT000000193847", "@nortexte": "ECOX9500164L", "@numtexte": "96-597", "@typelien": "CONCORDANCE", "@naturetexte": "LOI", "@datesignatexte": "1996-07-02" }, { "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@typelien": "CODIFICATION" }, { "@id": "LEGIARTI000006297860", "@num": "49", "#text": "Loi n°83-1 du 3 janvier 1983 - art. 49 (Ab)", "@sens": "source", "@cidtexte": "JORFTEXT000000691996", "@numtexte": "83-1", "@typelien": "CONCORDANCE", "@naturetexte": "LOI", "@datesignatexte": "1983-01-03" }, { "@id": "LEGIARTI000029393598", "@num": "21", "#text": "ORDONNANCE n°2014-946 du 20 août 2014 - art. 21 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000029391124", "@nortexte": "FCPT1409820R", "@numtexte": "2014-946", "@typelien": "MODIFIE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2014-08-20" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657713", "@num": "L533-2", "#text": "Code monétaire et financier - art. L533-2", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657747", "@num": "L533-4", "#text": "Code monétaire et financier - art. L533-4", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657859", "@num": "L533-4-1", "#text": "Code monétaire et financier - art. L533-4-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006659120", "@num": "L573-1", "#text": "Code monétaire et financier - art. L573-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000006185149", "@fin": "2022-02-26", "#text": "Sous-section 3 : Les obligations des prestataires de services d'investissement", "@debut": "2005-05-07" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006170913", "@fin": "2022-02-26", "#text": "Section 3 : Les prestataires de services d'investissement", "@debut": "2005-05-07" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006154769", "@fin": "2022-02-26", "#text": "Chapitre V : Les prestataires de services", "@debut": "2005-05-07" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006140208", "@fin": "2022-02-26", "#text": "Titre VI : Dispositions applicables dans les îles Wallis-et-Futuna", "@debut": "2005-05-07" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006124131", "@fin": "2022-02-26", "#text": "Livre VII : Régime de l'outre-mer", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006101336", "@fin": "2999-01-01", "#text": "Partie législative", "@debut": "2001-01-01" } ] }, "@cid": "LEGITEXT000006072026", "@nature": "CODE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Code monétaire et financier", "@debut": "2001-01-01", "@id_txt": "LEGITEXT000006072026", "@c_titre_court": "Code monétaire et financier" } ], "@date_publi": "2999-01-01", "@date_signature": "2999-01-01" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006667507", "@fin": "2005-05-07", "@num": "L765-11", "@etat": "MODIFIE", "@debut": "2001-01-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006667508", "@fin": "2009-07-17", "@num": "L765-11", "@etat": "MODIFIE", "@debut": "2005-05-07", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000020860503", "@fin": "2014-08-24", "@num": "L765-11", "@etat": "MODIFIE", "@debut": "2009-07-17", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000029404408", "@fin": "2015-07-17", "@num": "L765-11", "@etat": "MODIFIE", "@debut": "2014-08-24", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000030898263", "@fin": "2016-12-11", "@num": "L765-11", "@etat": "MODIFIE", "@debut": "2015-07-17", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000033615135", "@fin": "2018-01-03", "@num": "L765-11", "@etat": "MODIFIE", "@debut": "2016-12-11", "@origine": "LEGI" } }, { "@etat": "MODIFIE_MORT_NE", "LIEN_ART": { "@id": "LEGIARTI000032787375", "@fin": "2017-06-28", "@num": "L765-11", "@etat": "MODIFIE_MORT_NE", "@debut": "2018-01-03", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000035044916", "@fin": "2019-05-24", "@num": "L765-11", "@etat": "MODIFIE", "@debut": "2018-01-03", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000038615547", "@fin": "2020-12-29", "@num": "L765-11", "@etat": "MODIFIE", "@debut": "2019-05-24", "@origine": "LEGI" } }, { "@etat": "ABROGE", "LIEN_ART": { "@id": "LEGIARTI000042735898", "@fin": "2022-02-26", "@num": "L765-11", "@etat": "ABROGE", "@debut": "2020-12-29", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

I.-Le chapitre III du titre III du livre V est applicable dans les îles Wallis-et-Futuna, à l'exception de l'article L. 533-4-1 et sous réserve des adaptations prévues au II.

II.-1° Pour l'application de l'article L. 533-2, le premier alinéa est remplacé par les alinéas suivants :

\" a) De la confirmation rapide, lorsque c'est possible par des moyens électroniques, des termes du contrat dérivé de gré à gré concerné ;

2° Pour l'application de l'article L. 533-4 :

c) Le dernier alinéa est supprimé ;

Les articles L. 573-1 à L. 573-7 s'y appliquent également.

" } }, "LEGIARTI000029436073": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "315-68", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2016-12-18", "DATE_DEBUT": "2014-09-11" } }, "META_COMMUN": { "ID": "LEGIARTI000029436073", "URL": "article/LEGI/ARTI/00/00/29/43/60/LEGIARTI000029436073.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "LEGIARTI000029436011", "#text": "ARRÊTÉ du 28 août 2014 - art.", "@sens": "cible", "@cidtexte": "JORFTEXT000029434900", "@nortexte": "FCPT1418643A", "@typelien": "CREE", "@naturetexte": "ARRETE", "@datesignatexte": "2014-08-28" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000029436032", "@fin": "2018-01-03", "#text": "Section 9 : Encadrement de la négociation automatisée et à haute fréquence", "@debut": "2014-09-11" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025893637", "@fin": "2999-01-01", "#text": "Chapitre V : Autres dispositions", "@debut": "2007-11-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025363847", "@fin": "2007-11-01", "#text": "TITRE IER : Services", "@debut": "2004-11-25" }, { "@id": "LEGISCTA000025742926", "@fin": "2999-01-01", "#text": "TITRE IER : Prestataires de services d'investissement", "@debut": "2007-11-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025363846", "@fin": "2999-01-01", "#text": "LIVRE III : Prestataires", "@debut": "2004-11-25" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025347548", "@fin": "2999-01-01", "#text": "REGLEMENT GENERAL DE L'AUTORITE DES MARCHES FINANCIERS (RGAMF)", "@debut": "2004-11-25" } ] }, "@cid": "JORFTEXT000000606599", "@nor": "ECOT0420062A", "@nature": "ARRETE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Arrêté du 12 novembre 2004 portant homologation des livres II à VI du règlement général de l'Autorité des marchés financiers", "@debut": "2999-01-01", "@id_txt": "JORFTEXT000000606599", "@c_titre_court": "Arrêté du 12 novembre 2004" }, { "@fin": "2999-01-01", "#text": "Arrêté du 12 novembre 2004 portant homologation des livres II à VI du règlement général de l'Autorité des marchés financiers (RGAMF)", "@debut": "2004-11-25", "@id_txt": "LEGITEXT000022441606", "@c_titre_court": "Arrêté du 12 novembre 2004" } ], "@ministere": "MINISTERE DE L'ECONOMIE, DES FINANCES ET DE L'INDUSTRIE", "@date_publi": "2004-11-24", "@date_signature": "2004-11-12", "@num_parution_jo": "0273" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000029436073", "@fin": "2016-12-18", "@num": "315-68", "@etat": "MODIFIE", "@debut": "2014-09-11", "@origine": "LEGI" } }, { "@etat": "ABROGE", "LIEN_ART": { "@id": "LEGIARTI000033662576", "@fin": "2018-01-03", "@num": "315-68", "@etat": "ABROGE", "@debut": "2016-12-18", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

Constitue un accès direct au marché, au sens du 8 de l'article L. 533-10 du code monétaire et financier, un système par lequel un prestataire de services d'investissement qui est membre d'une plate-forme de négociation permet à des clients spécifiques ou à des contreparties éligibles de transmettre des ordres par voie électronique pour une transmission ultérieure automatique vers ladite plate-forme sous l'identité de négociation du prestataire de services d'investissement.

Au sens du présent article, une plate-forme de négociation est un marché réglementé ou un système multilatéral de négociation.

Lorsqu'il fournit à une personne un accès direct à un marché, le prestataire de services d'investissement signe un accord écrit contraignant avec cette personne portant sur les droits et obligations essentiels découlant de la fourniture de ce service et stipulant que le prestataire de services d'investissement conserve la responsabilité de garantir la conformité des négociations effectuées par son intermédiaire.

L'accord écrit prévoit en particulier les modalités de filtrage des ordres appropriées pour prévenir toute perturbation du marché.

Le prestataire de services d'investissement met en place les systèmes lui permettant de vérifier le respect des engagements prescrits par ledit accord, s'agissant notamment de la prévention de toute perturbation du marché ou du respect des règles en matière d'abus de marché définies au livre VI.

Le prestataire de services d'investissement assure la traçabilité de chaque ordre, y compris les modifications et les annulations d'ordres, émis au travers d'un accès direct au marché et conserve toutes leurs caractéristiques pendant une durée de cinq ans. Il tient l'ensemble de ces informations à la disposition de l'AMF.

\n
" } }, "LEGIARTI000030437945": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L511-34", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2016-07-03", "DATE_DEBUT": "2016-01-01" } }, "META_COMMUN": { "ID": "LEGIARTI000030437945", "URL": "article/LEGI/ARTI/00/00/30/43/79/LEGIARTI000030437945.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@typelien": "CODIFICATION" }, { "@id": "JORFTEXT000000886460", "#text": "LOI n° 78-17 du 6 janvier 1978", "@sens": "source", "@cidtexte": "JORFTEXT000000886460", "@numtexte": "78-17", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "1978-01-06" }, { "@id": "LEGIARTI000025918602", "@num": "315-55", "#text": "Arrêté du 12 novembre 2004 - art. 315-55 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000043414077", "@num": "320-20", "#text": "Arrêté du 12 novembre 2004 - art. 320-20 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000043414121", "@num": "321-147", "#text": "Arrêté du 12 novembre 2004 - art. 321-147 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000037541870", "@num": "550-10", "#text": "Arrêté du 12 novembre 2004 - art. 550-10 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000026208019", "@num": "560-13", "#text": "Arrêté du 12 novembre 2004 - art. 560-13 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000020858524", "@num": "5", "#text": "Ordonnance n°2009-865\n du 15 juillet 2009 - art. 5 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000020856565", "@nortexte": "ECET0908445R", "@numtexte": "2009-865", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2009-07-15" }, { "@id": "LEGIARTI000029703510", "@num": "68", "#text": "ARRÊTÉ du 3 novembre 2014 - art. 68 (VT)", "@sens": "cible", "@cidtexte": "JORFTEXT000029700770", "@nortexte": "FCPT1423259A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2014-11-03" }, { "@id": "LEGIARTI000030431442", "@num": "10", "#text": "ORDONNANCE n°2015-378 du 2 avril 2015 - art. 10", "@sens": "cible", "@cidtexte": "JORFTEXT000030430065", "@nortexte": "FCPX1431022R", "@numtexte": "2015-378", "@typelien": "MODIFIE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2015-04-02" }, { "@id": "LEGIARTI000032754237", "@num": "26", "#text": "Ordonnance n°2016-827 du 23 juin 2016 - art. 26", "@sens": "cible", "@cidtexte": "JORFTEXT000032752983", "@nortexte": "FCPT1604110R", "@numtexte": "2016-827", "@typelien": "CONCORDE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2016-06-23" }, { "@id": "LEGIARTI000043053301", "@num": "22", "#text": "Arrêté du 6 janvier 2021 - art. 22 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000042992976", "@nortexte": "ECOT2100415A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2021-01-06" }, { "@id": "LEGIARTI000029722028", "@num": "L511-24", "#text": "Code monétaire et financier - art. 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L735-1-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006664625", "@num": "L745-1", "#text": "Code monétaire et financier - art. L745-1 (T)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000042735829", "@num": "L745-1-1", "#text": "Code monétaire et financier - art. L745-1-1 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006666048", "@num": "L755-1", "#text": "Code monétaire et financier - art. L755-1 (T)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000042735800", "@num": "L755-1-1", "#text": "Code monétaire et financier - art. L755-1-1 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006667318", "@num": "L765-1", "#text": "Code monétaire et financier - art. L765-1 (T)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000042735785", "@num": "L765-1-1", "#text": "Code monétaire et financier - art. L765-1-1 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000047849522", "@num": "L773-4", "#text": "Code monétaire et financier - art. L773-4 (M)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000047849504", "@num": "L774-4", "#text": "Code monétaire et financier - art. L774-4 (M)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000047849486", "@num": "L775-4", "#text": "Code monétaire et financier - art. L775-4 (M)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006686444", "@num": "R562-2-1", "#text": "Code monétaire et financier - art. 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Les entreprises établies en France et qui font partie d'un groupe financier ou d'un groupe comprenant au moins une société de financement ou, pour l'application du 2° du présent article, \n\n d'un groupe au sens de l' article L. 356-1 du code des assurances , ou d'un groupe mixte ou d'un conglomérat financier auquel appartiennent des entités réglementées au sens de l'article L. 517-2 ayant leur siège social dans un Etat membre de l'Union européenne ou Etat partie à l'accord sur l'Espace économique européen ou dans un Etat où sont applicables les accords prévus aux articles L. 632-7, L. 632-13 et L. 632-16 du présent code sont tenues, nonobstant toutes dispositions contraires, de transmettre à des entreprises du même groupe ayant leur siège social dans l'un de ces Etats :

2° Les informations nécessaires à l'organisation de la lutte contre le blanchiment des capitaux et contre le financement du terrorisme ;

3° Les informations nécessaires à l'organisation de la détection des opérations d'initié ou des manipulations de cours mentionnées à l'article L. 621-17-2 ;

4° Les informations nécessaires à la gestion des conflits d'intérêts au sens du 3 de l'article L. 533-10.

Les dispositions du présent article ne font pas obstacle à l'application de la loi n° 78-17 du 6 janvier 1978 relative à l'informatique, aux fichiers et aux libertés.

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I.-Le chapitre III du titre III du livre V est applicable en Nouvelle-Calédonie sous réserve des adaptations prévues au II.

II.-1° Pour l'application de l'article L. 533-2, le premier alinéa est remplacé par les alinéas suivants :

\" a) De la confirmation rapide, lorsque c'est possible par des moyens électroniques, des termes du contrat dérivé de gré à gré concerné ;

2° Pour l'application de l'article L. 533-4 :

c) Le dernier alinéa est supprimé ;

III.-Les articles L. 573-1 à L. 573-7 s'y appliquent également.

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L533-10", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657713", "@num": "L533-2", "#text": "Code monétaire et financier - art. L533-2", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000029011965", "@num": "L533-22-3", "#text": "Code monétaire et financier - art. L533-22-3", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657747", "@num": "L533-4", "#text": "Code monétaire et financier - art. L533-4", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006659120", "@num": "L573-1", "#text": "Code monétaire et financier - art. L573-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006659194", "@num": "L573-7", "#text": "Code monétaire et financier - art. L573-7", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000006185056", "@fin": "2022-02-26", "#text": "Sous-section 3 : Les obligations des prestataires de services d'investissement", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006170787", "@fin": "2022-02-26", "#text": "Section 3 : Les prestataires de services d'investissement", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006154758", "@fin": "2022-02-26", "#text": "Chapitre V : Les prestataires de services", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006140196", "@fin": "2022-02-26", "#text": "Titre V : Dispositions applicables en Polynésie française", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006124131", "@fin": "2022-02-26", "#text": "Livre VII : Régime de l'outre-mer", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006101336", "@fin": "2999-01-01", "#text": "Partie législative", "@debut": "2001-01-01" } ] }, "@cid": "LEGITEXT000006072026", "@nature": "CODE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Code monétaire et financier", "@debut": "2001-01-01", "@id_txt": "LEGITEXT000006072026", "@c_titre_court": "Code monétaire et financier" } ], "@date_publi": "2999-01-01", "@date_signature": "2999-01-01" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006666285", "@fin": "2009-07-17", "@num": "L755-11", "@etat": "MODIFIE", "@debut": "2001-01-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000020860511", "@fin": "2014-08-24", "@num": "L755-11", "@etat": "MODIFIE", "@debut": "2009-07-17", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000029404283", "@fin": "2014-10-01", "@num": "L755-11", "@etat": "MODIFIE", "@debut": "2014-08-24", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000029025911", "@fin": "2015-07-17", "@num": "L755-11", "@etat": "MODIFIE", "@debut": "2014-10-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000030898091", "@fin": "2016-12-11", "@num": "L755-11", "@etat": "MODIFIE", "@debut": "2015-07-17", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000033615143", "@fin": "2018-01-03", "@num": "L755-11", "@etat": "MODIFIE", "@debut": "2016-12-11", "@origine": "LEGI" } }, { "@etat": "MODIFIE_MORT_NE", "LIEN_ART": { "@id": "LEGIARTI000032787163", "@fin": "2017-06-28", "@num": "L755-11", "@etat": "MODIFIE_MORT_NE", "@debut": "2018-01-03", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000035044952", "@fin": "2019-05-24", "@num": "L755-11", "@etat": "MODIFIE", "@debut": "2018-01-03", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000038615521", "@fin": "2020-12-29", "@num": "L755-11", "@etat": "MODIFIE", "@debut": "2019-05-24", "@origine": "LEGI" } }, { "@etat": "ABROGE", "LIEN_ART": { "@id": "LEGIARTI000042735910", "@fin": "2022-02-26", "@num": "L755-11", "@etat": "ABROGE", "@debut": "2020-12-29", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

I.-Le chapitre III du titre III du livre V est applicable en Polynésie française sous réserve des adaptations prévues au II.

II.-1° Pour l'application de l'article L. 533-2, le premier alinéa est remplacé par les alinéas suivants :

\" a) De la confirmation rapide, lorsque c'est possible par des moyens électroniques, des termes du contrat dérivé de gré à gré concerné ;

2° Pour l'application de l'article L. 533-4 :

c) Le dernier alinéa est supprimé ;

III.-Les articles L. 573-1 à L. 573-7 s'y appliquent également.

" } }, "LEGIARTI000030898263": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L765-11", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2016-12-11", "DATE_DEBUT": "2015-07-17" } }, "META_COMMUN": { "ID": "LEGIARTI000030898263", "URL": "article/LEGI/ARTI/00/00/30/89/82/LEGIARTI000030898263.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "JORFTEXT000000193847", "#text": "Loi 96-597 1996-07-02 art. 107 II", "@sens": "source", "@cidtexte": "JORFTEXT000000193847", "@nortexte": "ECOX9500164L", "@numtexte": "96-597", "@typelien": "CONCORDANCE", "@naturetexte": "LOI", "@datesignatexte": "1996-07-02" }, { "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@typelien": "CODIFICATION" }, { "@id": "LEGIARTI000006297860", "@num": "49", "#text": "Loi n°83-1 du 3 janvier 1983 - art. 49 (Ab)", "@sens": "source", "@cidtexte": "JORFTEXT000000691996", "@numtexte": "83-1", "@typelien": "CONCORDANCE", "@naturetexte": "LOI", "@datesignatexte": "1983-01-03" }, { "@id": "LEGIARTI000030893338", "@num": "11", "#text": "ORDONNANCE n°2015-859 du 15 juillet 2015 - art. 11 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000030890233", "@nortexte": "FCPT1508050R", "@numtexte": "2015-859", "@typelien": "MODIFIE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2015-07-15" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657713", "@num": "L533-2", "#text": "Code monétaire et financier - art. L533-2", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657747", "@num": "L533-4", "#text": "Code monétaire et financier - art. L533-4", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657859", "@num": "L533-4-1", "#text": "Code monétaire et financier - art. L533-4-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006659120", "@num": "L573-1", "#text": "Code monétaire et financier - art. L573-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000006185149", "@fin": "2022-02-26", "#text": "Sous-section 3 : Les obligations des prestataires de services d'investissement", "@debut": "2005-05-07" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006170913", "@fin": "2022-02-26", "#text": "Section 3 : Les prestataires de services d'investissement", "@debut": "2005-05-07" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006154769", "@fin": "2022-02-26", "#text": "Chapitre V : Les prestataires de services", "@debut": "2005-05-07" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006140208", "@fin": "2022-02-26", "#text": "Titre VI : Dispositions applicables dans les îles Wallis-et-Futuna", "@debut": "2005-05-07" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006124131", "@fin": "2022-02-26", "#text": "Livre VII : Régime de l'outre-mer", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006101336", "@fin": "2999-01-01", "#text": "Partie législative", "@debut": "2001-01-01" } ] }, "@cid": "LEGITEXT000006072026", "@nature": "CODE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Code monétaire et financier", "@debut": "2001-01-01", "@id_txt": "LEGITEXT000006072026", "@c_titre_court": "Code monétaire et financier" } ], "@date_publi": "2999-01-01", "@date_signature": "2999-01-01" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006667507", "@fin": "2005-05-07", "@num": "L765-11", "@etat": "MODIFIE", "@debut": "2001-01-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006667508", "@fin": "2009-07-17", "@num": "L765-11", "@etat": "MODIFIE", "@debut": "2005-05-07", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000020860503", "@fin": "2014-08-24", "@num": "L765-11", "@etat": "MODIFIE", "@debut": "2009-07-17", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000029404408", "@fin": "2015-07-17", "@num": "L765-11", "@etat": "MODIFIE", "@debut": "2014-08-24", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000030898263", "@fin": "2016-12-11", "@num": "L765-11", "@etat": "MODIFIE", "@debut": "2015-07-17", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000033615135", "@fin": "2018-01-03", "@num": "L765-11", "@etat": "MODIFIE", "@debut": "2016-12-11", "@origine": "LEGI" } }, { "@etat": "MODIFIE_MORT_NE", "LIEN_ART": { "@id": "LEGIARTI000032787375", "@fin": "2017-06-28", "@num": "L765-11", "@etat": "MODIFIE_MORT_NE", "@debut": "2018-01-03", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000035044916", "@fin": "2019-05-24", "@num": "L765-11", "@etat": "MODIFIE", "@debut": "2018-01-03", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000038615547", "@fin": "2020-12-29", "@num": "L765-11", "@etat": "MODIFIE", "@debut": "2019-05-24", "@origine": "LEGI" } }, { "@etat": "ABROGE", "LIEN_ART": { "@id": "LEGIARTI000042735898", "@fin": "2022-02-26", "@num": "L765-11", "@etat": "ABROGE", "@debut": "2020-12-29", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

I.-Le chapitre III du titre III du livre V est applicable dans les îles Wallis-et-Futuna sous réserve des adaptations prévues au II.

II.-1° Pour l'application de l'article L. 533-2, le premier alinéa est remplacé par les alinéas suivants :

\" a) De la confirmation rapide, lorsque c'est possible par des moyens électroniques, des termes du contrat dérivé de gré à gré concerné ;

2° Pour l'application de l'article L. 533-4 :

c) Le dernier alinéa est supprimé ;

Les articles L. 573-1 à L. 573-7 s'y appliquent également.

" } }, "LEGIARTI000032751957": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L511-34", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2018-01-03", "DATE_DEBUT": "2016-07-03" } }, "META_COMMUN": { "ID": "LEGIARTI000032751957", "URL": "article/LEGI/ARTI/00/00/32/75/19/LEGIARTI000032751957.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@typelien": "CODIFICATION" }, { "@id": "JORFTEXT000000886460", "#text": "LOI n° 78-17 du 6 janvier 1978", "@sens": "source", "@cidtexte": "JORFTEXT000000886460", "@numtexte": "78-17", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "1978-01-06" }, { "@id": "LEGIARTI000025918602", "@num": "315-55", "#text": "Arrêté du 12 novembre 2004 - art. 315-55 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000043414077", "@num": "320-20", "#text": "Arrêté du 12 novembre 2004 - art. 320-20 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000043414121", "@num": "321-147", "#text": "Arrêté du 12 novembre 2004 - art. 321-147 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000037541870", "@num": "550-10", "#text": "Arrêté du 12 novembre 2004 - art. 550-10 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000026208019", "@num": "560-13", "#text": "Arrêté du 12 novembre 2004 - art. 560-13 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000020858524", "@num": "5", "#text": "Ordonnance n°2009-865\n du 15 juillet 2009 - art. 5 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000020856565", "@nortexte": "ECET0908445R", "@numtexte": "2009-865", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2009-07-15" }, { "@id": "LEGIARTI000029703510", "@num": "68", "#text": "ARRÊTÉ du 3 novembre 2014 - art. 68 (VT)", "@sens": "cible", "@cidtexte": "JORFTEXT000029700770", "@nortexte": "FCPT1423259A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2014-11-03" }, { "@id": "LEGIARTI000032744795", "@num": "8", "#text": "LOI n° 2016-819 du 21 juin 2016 - art. 8", "@sens": "cible", "@cidtexte": "JORFTEXT000032743112", "@nortexte": "FCPX1608600L", "@numtexte": "2016-819", "@typelien": "MODIFIE", "@naturetexte": "LOI", "@datesignatexte": "2016-06-21" }, { "@id": "LEGIARTI000032754237", "@num": "26", "#text": "Ordonnance n°2016-827 du 23 juin 2016 - art. 26", "@sens": "cible", "@cidtexte": "JORFTEXT000032752983", "@nortexte": "FCPT1604110R", "@numtexte": "2016-827", "@typelien": "CONCORDE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2016-06-23" }, { "@id": "LEGIARTI000043053301", "@num": "22", "#text": "Arrêté du 6 janvier 2021 - art. 22 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000042992976", "@nortexte": "ECOT2100415A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2021-01-06" }, { "@id": "LEGIARTI000029722028", "@num": "L511-24", "#text": "Code monétaire et financier - art. L511-24 (M)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006654596", "@num": "L511-33", "#text": "Code monétaire et financier - art. L511-33", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006656494", "@num": "L517-2", "#text": "Code monétaire et financier - art. L517-2", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657731", "@num": "L533-3-1", "#text": "Code monétaire et financier - art. L533-3-1 (Ab)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035043118", "@num": "L533-7", "#text": "Code monétaire et financier - art. L533-7 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000044564271", "@num": "L571-4", "#text": "Code monétaire et financier - art. L571-4 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006661594", "@num": "L632-13", "#text": "Code monétaire et financier - art. L632-13", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006661632", "@num": "L632-16", "#text": "Code monétaire et financier - art. 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Les entreprises établies en France et qui font partie d'un groupe financier ou d'un groupe comprenant au moins une société de financement ou, pour l'application du 2° du présent article, d'un groupe au sens de l'article L. 356-1 du code des assurances, ou d'un groupe mixte ou d'un conglomérat financier auquel appartiennent des entités réglementées au sens de l'article L. 517-2 ayant leur siège social dans un Etat membre de l'Union européenne ou Etat partie à l'accord sur l'Espace économique européen ou dans un Etat où sont applicables les accords prévus aux articles L. 632-7, L. 632-13 et L. 632-16 du présent code sont tenues, nonobstant toutes dispositions contraires, de transmettre à des entreprises du même groupe ayant leur siège social dans l'un de ces Etats :

2° Les informations nécessaires à l'organisation de la lutte contre le blanchiment des capitaux et contre le financement du terrorisme ;

3° Les informations nécessaires à l'organisation de la détection des abus de marché mentionnés à l'article 16 du règlement (UE) n° 596/2014 du Parlement européen et du Conseil du 16 avril 2014 sur les abus de marché (règlement relatif aux abus de marché) et abrogeant la directive 2003/6/CE du Parlement européen et du Conseil et les directives 2003/124/CE, 2003/125/CE et 2004/72/CE de la Commission ;

4° Les informations nécessaires à la gestion des conflits d'intérêts au sens du 3 de l'article L. 533-10.

Les dispositions du présent article ne font pas obstacle à l'application de la loi n° 78-17 du 6 janvier 1978 relative à l'informatique, aux fichiers et aux libertés.

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R613-37-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000006184914", "@fin": "2018-01-03", "#text": "Sous-section 2 : Libre prestation de services et liberté d'établissement en France", "@debut": "2001-01-01" }, { "@id": "LEGISCTA000035042856", "@fin": "2999-01-01", "#text": "Sous-section 2 : Libre établissement et libre prestation de services en France (Passeport entrant)", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006170642", "@fin": "2018-01-03", "#text": "Section 2 : Libre établissement et libre prestation de services sur le territoire des Etats parties à l'accord sur l'Espace économique européen", "@debut": "2001-01-01" }, { "@id": "LEGISCTA000032786469", "@fin": "2017-06-28", "#text": "Section 2 : Libre établissement et libre prestation de services sur le territoire des Etats membres de l'Union européenne ou parties à l'accord sur l'Espace économique européen", "@debut": "2018-01-03" }, { "@id": "LEGISCTA000035042858", "@fin": "2999-01-01", "#text": "Section 2 : Libre établissement et libre prestation de services sur le territoire des Etats membres de l'Union européenne ou parties à l'accord sur l'Espace économique européen (Passeports)", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006154696", "@fin": "2999-01-01", "#text": "Chapitre II : Conditions d'exercice de la profession", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006140119", "@fin": "2999-01-01", "#text": "Titre III : Les prestataires de services d'investissement", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006123943", "@fin": "2999-01-01", "#text": "Livre V : Les prestataires de services", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006101336", "@fin": "2999-01-01", "#text": "Partie législative", "@debut": "2001-01-01" } ] }, "@cid": "LEGITEXT000006072026", "@nature": "CODE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Code monétaire et financier", "@debut": "2001-01-01", "@id_txt": "LEGITEXT000006072026", "@c_titre_court": "Code monétaire et financier" } ], "@date_publi": "2999-01-01", "@date_signature": "2999-01-01" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE_MORT_NE", "LIEN_ART": { "@id": "LEGIARTI000006657534", "@fin": "2007-10-19", "@num": "L532-18-1", "@etat": "MODIFIE_MORT_NE", "@debut": "2007-11-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006657535", "@fin": "2008-07-17", "@num": "L532-18-1", "@etat": "MODIFIE", "@debut": "2007-11-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000019202572", "@fin": "2009-01-10", "@num": "L532-18-1", "@etat": "MODIFIE", "@debut": "2008-07-17", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000020096460", "@fin": "2012-01-01", "@num": "L532-18-1", "@etat": "MODIFIE", "@debut": "2009-01-10", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000025019244", "@fin": "2014-01-01", "@num": "L532-18-1", "@etat": "MODIFIE", "@debut": "2012-01-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000026992932", "@fin": "2018-01-03", "@num": "L532-18-1", "@etat": "MODIFIE", "@debut": "2014-01-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE_MORT_NE", "LIEN_ART": { "@id": "LEGIARTI000032751975", "@fin": "2016-06-25", "@num": "L532-18-1", "@etat": "MODIFIE_MORT_NE", "@debut": "2016-07-03", "@origine": "LEGI" } }, { "@etat": "VIGUEUR", "LIEN_ART": { "@id": "LEGIARTI000032786420", "@fin": "2999-01-01", "@num": "L532-18-1", "@etat": "VIGUEUR", "@debut": "2018-01-03", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

Dans la limite des services qu'elle est autorisée à fournir sur le territoire de son Etat d'origine, et en fonction de l'agrément qu'elle y a reçu, toute personne morale ou physique agréée pour fournir des services d'investissement peut, sans préjudice des dispositions des articles L. 511-21 à L. 511-28, établir des succursales pour fournir des services d'investissement et des services connexes sur le territoire de la France métropolitaine, des départements d'outre-mer, du Département de Mayotte et de Saint-Martin.

Pour l'application des articles L. 213-3, L. 421-17 à L. 421-19, L. 211-36, L. 211-36-1, L. 211-35, L. 531-10, du 5 de l'article L. 533-10, des articles L. 621-17-3, L. 621-17-5 à L. 621-17-7 et L. 621-18-1, les personnes mentionnées à l'alinéa précédent sont assimilées à des prestataires de services d'investissement.

Lorsqu'un prestataire de services d'investissement ayant son siège social dans un autre Etat membre recourt à des agents liés mentionnés à l'article L. 545-1, établis sur le territoire de la France métropolitaine, des départements d'outre-mer, du Département de Mayotte et de Saint-Martin, ces agents sont assimilés à une succursale.

" } }, "LEGIARTI000032755740": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L511-105", "ETAT": "VIGUEUR", "TYPE": "AUTONOME", "DATE_FIN": "2999-01-01", "DATE_DEBUT": "2018-01-03" } }, "META_COMMUN": { "ID": "LEGIARTI000032755740", "URL": "article/LEGI/ARTI/00/00/32/75/57/LEGIARTI000032755740.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "LEGIARTI000032754221", "@num": "8", "#text": "Ordonnance n°2016-827 du 23 juin 2016 - art. 8", "@sens": "cible", "@cidtexte": "JORFTEXT000032752983", "@nortexte": "FCPT1604110R", "@numtexte": "2016-827", "@typelien": "CREE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2016-06-23" }, { "@id": "LEGIARTI000032754359", "@num": "L312-22", "#text": "Code monétaire et financier - art. L312-22 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657822", "@num": "L533-11", "#text": "Code monétaire et financier - art. L533-11 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657949", "@num": "L533-19", "#text": "Code monétaire et financier - art. L533-19 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657960", "@num": "L533-20", "#text": "Code monétaire et financier - art. L533-20 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006658025", "@num": "L533-24", "#text": "Code monétaire et financier - art. L533-24 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000028633832", "@num": "L533-29", "#text": "Code monétaire et financier - art. L533-29 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006658247", "@num": "L545-3", "#text": "Code monétaire et financier - art. L545-3 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000038611649", "@num": "L621-20-7", "#text": "Code monétaire et financier - art. L621-20-7 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000042735829", "@num": "L745-1-1", "#text": "Code monétaire et financier - art. L745-1-1 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000042735800", "@num": "L755-1-1", "#text": "Code monétaire et financier - art. L755-1-1 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032787397", "@num": "L765-1-1", "#text": "Code monétaire et financier - art. L765-1-1 (MMN)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000045236333", "@num": "L773-7", "#text": "Code monétaire et financier - art. L773-7 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000045236551", "@num": "L774-7", "#text": "Code monétaire et financier - art. L774-7 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000045236769", "@num": "L775-7", "#text": "Code monétaire et financier - art. L775-7 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000032755729", "@fin": "2999-01-01", "#text": "Section 10 : Commercialisation de dépôts structurés", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006154608", "@fin": "2014-01-01", "#text": "Chapitre Ier : Règles générales applicables aux établissements de crédit", "@debut": "2001-01-01" }, { "@id": "LEGISCTA000027643755", "@fin": "2999-01-01", "#text": "Chapitre Ier : Dispositions générales", "@debut": "2014-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006140044", "@fin": "2014-01-01", "#text": "Titre Ier : Etablissements du secteur bancaire", "@debut": "2001-01-01" }, { "@id": "LEGISCTA000027643757", "@fin": "2014-02-22", "#text": "Titre Ier : Prestataires de services bancaire", "@debut": "2014-01-01" }, { "@id": "LEGISCTA000028635775", "@fin": "2999-01-01", "#text": "Titre Ier : Prestataires de services bancaires", "@debut": "2014-02-22" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006123943", "@fin": "2999-01-01", "#text": "Livre V : Les prestataires de services", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006101336", "@fin": "2999-01-01", "#text": "Partie législative", "@debut": "2001-01-01" } ] }, "@cid": "LEGITEXT000006072026", "@nature": "CODE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Code monétaire et financier", "@debut": "2001-01-01", "@id_txt": "LEGITEXT000006072026", "@c_titre_court": "Code monétaire et financier" } ], "@date_publi": "2999-01-01", "@date_signature": "2999-01-01" } }, "VERSIONS": { "VERSION": [ { "@etat": "VIGUEUR", "LIEN_ART": { "@id": "LEGIARTI000032755740", "@fin": "2999-01-01", "@num": "L511-105", "@etat": "VIGUEUR", "@debut": "2018-01-03", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

Lorsqu'ils commercialisent des dépôts structurés au sens de l'article L. 312-22 ou lorsqu'ils fournissent des conseils sur ces dépôts, les établissements de crédit sont soumis aux dispositions des 2°, 3° et 6° du II de l'article L. 533-10, des articles L. 533-11 à L. 533-17, de l'article L. 533-19, de l'article L. 533-20, des articles L. 533-24 et L. 533-24-1, des II et III de l'article L. 533-29, ainsi qu'aux dispositions du chapitre V du titre IV du livre V à l'exclusion de celles de l'article L. 545-3.

Pour l'application de l'alinéa précédent, les dépôts structurés sont assimilés à des instruments financiers et les pouvoirs dévolus à l'Autorité des marchés financiers en application du 6° du II de l'article L. 533-10 sont exercés par l'Autorité de contrôle prudentiel et de résolution.

\n
" } }, "LEGIARTI000032786002": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L321-1", "ETAT": "VIGUEUR", "TYPE": "AUTONOME", "DATE_FIN": "2999-01-01", "DATE_DEBUT": "2018-01-03" } }, "META_COMMUN": { "ID": "LEGIARTI000032786002", "URL": "article/LEGI/ARTI/00/00/32/78/60/LEGIARTI000032786002.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@typelien": "CODIFICATION" }, { "@id": "LEGIARTI000006328302", "@num": "10", "#text": "Décret n°89-623 du 6 septembre 1989 - art. 10 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000332976", "@nortexte": "ECOT8920101D", "@numtexte": "89-623", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "1989-09-06" }, { "@id": "LEGIARTI000006709157", "@num": "4", "#text": "Loi n°96-597 du 2 juillet 1996 - art. 4 (Ab)", "@sens": "source", "@cidtexte": "JORFTEXT000000193847", "@nortexte": "ECOX9500164L", "@numtexte": "96-597", "@typelien": "CONCORDANCE", "@naturetexte": "LOI", "@datesignatexte": "1996-07-02" }, { "@id": "LEGIARTI000006709157", "@num": "4", "#text": "Loi n°96-597 du 2 juillet 1996 - art. 4 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000193847", "@nortexte": "ECOX9500164L", "@numtexte": "96-597", "@typelien": "CONCORDE", "@naturetexte": "LOI", "@datesignatexte": "1996-07-02" }, { "@id": "LEGIARTI000006738385", "@num": "2", "#text": "Décret n°96-880 du 8 octobre 1996 - art. 2 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000378759", "@nortexte": "ECOT9620035D", "@numtexte": "96-880", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "1996-10-08" }, { "@id": "LEGIARTI000006738416", "@num": "3", "#text": "Décret n°96-880 du 8 octobre 1996 - art. 3 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000378759", "@nortexte": "ECOT9620035D", "@numtexte": "96-880", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "1996-10-08" }, { "@id": "LEGIARTI000006738450", "@num": "5", "#text": "Décret n°96-880 du 8 octobre 1996 - art. 5 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000378759", "@nortexte": "ECOT9620035D", "@numtexte": "96-880", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "1996-10-08" }, { "@id": "LEGIARTI000006738525", "@num": "6", "#text": "Décret n°96-880 du 8 octobre 1996 - art. 6 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000378759", "@nortexte": "ECOT9620035D", "@numtexte": "96-880", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "1996-10-08" }, { "@id": "LEGIARTI000006738537", "@num": "7", "#text": "Décret n°96-880 du 8 octobre 1996 - art. 7 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000378759", "@nortexte": "ECOT9620035D", "@numtexte": "96-880", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "1996-10-08" }, { "@id": "LEGIARTI000047751460", "@num": "29", "#text": "Décret n°2004-569 du 18 juin 2004 - art. 29 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000803653", "@nortexte": "FPPA0400063D", "@numtexte": "2004-569", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-06-18" }, { "@id": "LEGIARTI000037148224", "@num": "312-43", "#text": "Arrêté du 12 novembre 2004 - art. 312-43 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036892727", "@num": "312-8", "#text": "Arrêté du 12 novembre 2004 - art. 312-8 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000025923276", "@num": "313-53-2", "#text": "Arrêté du 12 novembre 2004 - art. 313-53-2 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000028421804", "@num": "314-79", "#text": "Arrêté du 12 novembre 2004 - art. 314-79 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000025918590", "@num": "315-50", "#text": "Arrêté du 12 novembre 2004 - art. 315-50 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036893784", "@num": "315-6", "#text": "Arrêté du 12 novembre 2004 - art. 315-6 (M)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036893775", "@num": "315-7", "#text": "Arrêté du 12 novembre 2004 - art. 315-7 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000046581496", "@num": "315-9", "#text": "Arrêté du 12 novembre 2004 - art. 315-9 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000045813025", "@num": "319-14", "#text": "Arrêté du 12 novembre 2004 - art. 319-14 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000046581491", "@num": "319-27", "#text": "Arrêté du 12 novembre 2004 - art. 319-27 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000046581486", "@num": "320-25", "#text": "Arrêté du 12 novembre 2004 - art. 320-25 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000046581481", "@num": "321-135", "#text": "Arrêté du 12 novembre 2004 - art. 321-135 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000046581476", "@num": "321-152", "#text": "Arrêté du 12 novembre 2004 - art. 321-152 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000028050491", "@num": "521-2", "#text": "Arrêté du 12 novembre 2004 - 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art.", "@sens": "cible", "@cidtexte": "JORFTEXT000045358502", "@nortexte": "ECOT2206201A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2022-03-09" }, { "@id": "LEGIARTI000046112301", "@num": "1", "#text": "Décision n°752 du 13 avril 2022 - art. 1 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000045593640", "@nortexte": "AMFP2211755S", "@numtexte": "752", "@typelien": "CITATION", "@naturetexte": "DECISION", "@datesignatexte": "2022-04-13" }, { "@id": "LEGIARTI000046154964", "@num": "4", "#text": "Arrêté du 5 août 2022 - art. 4 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000046150481", "@nortexte": "ECOT2222069A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2022-08-05" }, { "@id": "LEGIARTI000048179403", "@num": "1", "#text": "Décret n°2023-931 du 9 octobre 2023 - art. 1", "@sens": "cible", "@cidtexte": "JORFTEXT000048178349", "@nortexte": "ECOI2310697D", "@numtexte": "2023-931", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2023-10-09" }, { "@id": "LEGIARTI000049332367", "@num": "1", "#text": "Arrêté du 18 mars 2024 - 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Les services d'investissement portent sur les instruments financiers énumérés à l'article L. 211-1 et sur les unités mentionnées à l'article L. 229-7 du code de l'environnement et comprennent les services et activités suivants :

1. La réception et la transmission d'ordres pour le compte de tiers ;

2. L'exécution d'ordres pour le compte de tiers ;

3. La négociation pour compte propre ;

4. La gestion de portefeuille pour le compte de tiers ;

5. Le conseil en investissement ;

6-1. La prise ferme ;

6-2. Le placement garanti ;

7. Le placement non garanti ;

8. L'exploitation d'un système multilatéral de négociation au sens de l'article L. 424-1 ;

9. L'exploitation d'un système organisé de négociation au sens de l'article L. 425-1.

Un décret précise la définition de ces services.

Les services rendus à l'Etat et à la Banque de France, dans le cadre des politiques de gestion de la monnaie, des taux de change, de la dette publique et des réserves de l'Etat ne sont pas soumis aux dispositions du présent code applicables aux services d'investissement mentionnés au présent article.

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I.-Les dispositions du premier alinéa de l'article L. 532-18 et du premier alinéa de l'article L. 532-18-1 ainsi que les dispositions de la section 2 du chapitre IV du titre Ier du livre II sont applicables aux sociétés de gestion établies dans un autre Etat membre de l'Union européenne qui gèrent un ou plusieurs FIA de droit français.

II.-L'Autorité des marchés financiers surveille le respect par les sociétés de gestion mentionnées au I des dispositions de l'article L. 533-11 et du 3° du I de l'article L. 533-10 lorsque ces sociétés de gestion gèrent un FIA ou en commercialise les parts ou actions en libre établissement.

III.-L'Autorité des marchés financiers peut exiger d'une société de gestion mentionnée au I, qui gère un FIA ou en commercialise les parts ou actions, qu'elle fournisse les informations nécessaires à la surveillance du respect par cette société de gestion des règles relevant de la compétence de cette autorité.

Lorsque l'activité de la société de gestion sur ces territoires consiste à gérer des FIA, l'Autorité des marchés financiers peut exiger qu'elle mette un terme à la gestion de ces FIA.

Si, en dépit des mesures prises par l'autorité compétente de l'Etat d'origine ou en raison du caractère inadéquat de ces mesures ou en l'absence d'action dans un délai raisonnable de sa part, la société de gestion continue d'agir d'une manière clairement préjudiciable aux intérêts des porteurs ou actionnaires du FIA concerné, de la stabilité financière, ou de l'intégrité du marché français, l'Autorité des marchés financiers, après en avoir informé l'autorité compétente de l'Etat d'origine de la société de gestion, prend les mesures nécessaires pour protéger les porteurs de parts ou actionnaires du FIA concerné, la stabilité financière et l'intégrité du marché français, y compris l'interdiction pour la société de gestion de continuer à commercialiser des parts ou actions du FIA concerné sur le territoire de la France métropolitaine, de la Guadeloupe, de la Guyane, de la Martinique, de La Réunion, de Mayotte et de Saint-Martin.

\n
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R532-18 (Ab)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043802850", "@num": "R613-37-1", "#text": "Code monétaire et financier - art. 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Dans la limite des services qu'elle est autorisée à fournir sur le territoire de son Etat d'origine, et en fonction de l'agrément qu'elle y a reçu, toute personne morale ou physique agréée pour fournir des services d'investissement peut, sans préjudice des dispositions des articles L. 511-21 à L. 511-28, établir des succursales pour fournir des services d'investissement et des services connexes sur le territoire de la France métropolitaine, de la Guadeloupe, de la Guyane, de la Martinique, de La Réunion, de Mayotte et de Saint-Martin. Les services connexes ne peuvent être fournis que conjointement à un service d'investissement.

Pour l'application des articles L. 213-3, L. 421-17 à L. 421-19, L. 211-36, L. 211-36-1, L. 211-35, L. 531-10, des 5° du I, 6° du II et III de l'article L. 533-10, des articles L. 621-17-3, L. 621-17-5 à L. 621-17-7 et L. 621-18-1, les personnes mentionnées à l'alinéa précédent sont assimilées à des prestataires de services d'investissement.

Lorsqu'un prestataire de services d'investissement ayant son siège social dans un autre Etat membre de l'Union européenne ou partie à l'accord sur l'Espace économique européen recourt à des agents liés mentionnés à l'article L. 545-1, établis sur le territoire de la France métropolitaine, de la Guadeloupe, de la Guyane, de la Martinique, de La Réunion, de Mayotte et de Saint-Martin, ces agents sont soumis aux dispositions relatives aux succursales ou sont assimilés, le cas échéant, à une succursale.

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I.-Les prestataires de services d'investissement prennent toutes les mesures suffisantes pour obtenir, lors de l'exécution des ordres, le meilleur résultat possible pour leurs clients compte tenu du prix, du coût, de la rapidité, de la probabilité d'exécution et du règlement, de la taille, de la nature de l'ordre ou de toutes autres considérations relatives à l'exécution de l'ordre. Néanmoins, chaque fois qu'il existe une instruction spécifique donnée par les clients, les prestataires exécutent l'ordre en suivant cette instruction.

Lorsque les prestataires de services d'investissement exécutent des ordres pour le compte de clients non professionnels, le meilleur résultat possible est déterminé sur la base du coût totaL. Le coût total est le prix de l'instrument financier augmenté des coûts liés à l'exécution, qui incluent toutes les dépenses encourues par le client directement liées à l'exécution de l'ordre, y compris les frais propres au lieu d'exécution, les frais de compensation et de règlement et tous les autres frais éventuellement payés à des tiers ayant participé à l'exécution de l'ordre.

En vue d'assurer le meilleur résultat possible lorsque plusieurs lieux d'exécution concurrents sont en mesure d'exécuter un ordre concernant un instrument financier, les prestataires évaluent et comparent les résultats qui seraient obtenus pour les clients en exécutant l'ordre dans chacun des lieux d'exécution inclus dans la politique d'exécution mentionnée au II dès lors qu'ils sont en mesure d'exécuter cet ordre. Dans cette évaluation, les prestataires prennent en compte les commissions qui leur sont propres et les coûts pour l'exécution de l'ordre dans chacun des lieux d'exécution éligibles.

II.-Les prestataires de services d'investissement établissent et mettent en oeuvre des dispositions efficaces pour se conformer au I. Ils établissent et mettent en oeuvre une politique d'exécution des ordres leur permettant d'obtenir, pour les ordres de leurs clients, le meilleur résultat possible conformément au I.

III.-La politique d'exécution des ordres inclut, en ce qui concerne chaque catégorie d'instruments financiers, des informations sur les différents lieux d'exécution dans lesquels le prestataire de services d'investissement exécute les ordres de ses clients et les facteurs influençant le choix du lieu d'exécution. Elle inclut au moins les lieux d'exécution qui permettent au prestataire d'obtenir, dans la plupart des cas, le meilleur résultat possible pour l'exécution des ordres des clients.

Les prestataires de services d'investissement fournissent des informations appropriées à leurs clients sur leur politique d'exécution des ordres. Ces informations expliquent clairement, de façon suffisamment détaillée et facilement compréhensible par les clients, la manière dont les ordres seront exécutés par les prestataires pour leurs clients. Ils obtiennent le consentement préalable de leurs clients sur cette politique d'exécution.

Lorsque la politique d'exécution des ordres prévoit que les ordres des clients peuvent être exécutés en dehors d'une plate-forme de négociation, les prestataires de services d'investissement informent notamment leurs clients ou leurs clients potentiels de cette possibilité. Les prestataires obtiennent le consentement préalable exprès de leurs clients avant de procéder à l'exécution de leurs ordres en dehors d'une plate-forme de négociation.

Les prestataires de services d'investissement peuvent obtenir ce consentement soit sous la forme d'un accord général soit pour des transactions déterminées.

IV.-A la demande de leurs clients, les prestataires de services d'investissement doivent pouvoir démontrer qu'ils ont exécuté leurs ordres conformément à leur politique d'exécution.

V.-Les prestataires de services d'investissement ne reçoivent aucune rémunération, aucune remise ou aucun avantage non monétaire pour l'acheminement d'ordres vers une plate-forme de négociation ou un lieu d'exécution particulier qui méconnaîtrait les exigences résultant des I du présent article, 3° des I ou II de l'article L. 533-10, des articles L. 533-11 à L. 533-12-4 et des articles L. 533-24 et L. 533-24-1.

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I.-En vue de fournir les services mentionnés aux 4 ou 5 de l'article L. 321-1, les prestataires de services d'investissement se procurent les informations nécessaires concernant les connaissances et l'expérience de leurs clients, notamment de leurs clients potentiels, en matière d'investissement en rapport avec le type spécifique d'instrument financier ou de service, leur situation financière, y compris leur capacité à subir des pertes, et leurs objectifs d'investissement, y compris leur tolérance au risque, de manière à pouvoir leur recommander les services d'investissement et les instruments financiers adéquats et adaptés à leur tolérance au risque et à leur capacité à subir des pertes.

Lorsque la fourniture du service d'investissement mentionné au 5 de l'article L. 321-1 conduit à recommander une offre groupée au sens de l'article L. 533-12-1, les prestataires veillent à ce que l'offre groupée dans son ensemble soit adéquate.

II.-En vue de fournir un service autre que ceux mentionnés au I, les prestataires de services d'investissement demandent à leurs clients, notamment leurs clients potentiels, des informations sur leurs connaissances et leur expérience en matière d'investissement, en rapport avec le type spécifique d'instrument financier ou de service proposé ou demandé, pour être en mesure de déterminer si le service ou l'instrument financier est approprié.

Lorsqu'une offre groupée de services ou de produits au sens de l'article L. 533-12-1 est envisagée, l'évaluation porte sur le caractère approprié de l'offre groupée dans son ensemble.

Lorsque les prestataires de services d'investissement estiment, sur la base des informations fournies, que le service ou l'instrument financier n'est pas adapté aux clients, notamment aux clients potentiels, ils les en avertissent. Cet avertissement peut être transmis sous une forme normalisée dans des conditions fixées par décret.

Si les clients, notamment les clients potentiels, ne fournissent pas les informations mentionnées au premier alinéa ou si les informations fournies sont insuffisantes, les prestataires les avertissent qu'ils ne sont pas en mesure de déterminer si le service ou l'instrument financier envisagé leur convient. Cet avertissement peut être transmis sous une forme normalisée dans des conditions fixées par décret.

III.-Les prestataires de services d'investissement peuvent fournir les services mentionnés aux 1 ou 2 de l'article L. 321-1 avec ou sans services connexes, à l'exclusion de l'octroi de crédits ou de prêts mentionné au 2 de l'article L. 321-2 dans le cadre desquels les limites existantes concernant les prêts, les comptes courants et les découverts pour les clients ne s'appliquent pas, sans appliquer les dispositions du II du présent article, dans les conditions suivantes :

1° Le service porte sur des instruments financiers non complexes définis par décret ;

2° Le service est fourni à l'initiative du client, notamment du client potentiel ;

3° Le prestataire a préalablement et clairement informé le client, notamment le client potentiel, de ce qu'il n'est pas tenu d'évaluer le caractère approprié du service ou de l'instrument financier et qu'il ne bénéficie pas de la protection correspondante des règles de bonne conduite pertinentes. Cet avertissement peut être transmis sous une forme normalisée ;

4° Le prestataire s'est conformé au 3° des I ou II de l'article L. 533-10.

\n
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Les prestataires de services d'investissement autres que les sociétés de gestion de portefeuille qui fournissent à des personnes un accès électronique direct à une plate-forme de négociation :

1° Disposent de systèmes et contrôles efficaces assurant que :

a) Le caractère adéquat des personnes utilisant ce service est dûment évalué et examiné ;

b) Ces personnes sont empêchées de dépasser des seuils de négociation et de crédit préétablis appropriés ;

c) Les opérations effectuées par ces personnes sont convenablement suivies ;

d) Des contrôles des risques appropriés préviennent toute négociation susceptible de créer des risques pour les prestataires eux-mêmes, de donner naissance ou de contribuer à une perturbation du marché ou d'être contraire au règlement (UE) n° 596/2014 du Parlement européen et du Conseil du 16 avril 2014 sur les abus de marché ou aux règles de la plate-forme de négociation ;

2° Veillent à ce que les personnes qui utilisent ce service se conforment aux exigences du présent chapitre et aux règles de la plate-forme de négociation ;

3° Surveillent les transactions en vue de détecter toute violation de ces règles, toute condition de négociation de nature à perturber le marché ou tout comportement potentiellement révélateur d'un abus de marché devant être signalé à l'Autorité des marchés financiers ;

4° Concluent un contrat écrit avec les personnes qui utilisent ce service, portant sur les droits et obligations essentiels découlant de la fourniture de ce service et stipulant que les prestataires demeurent responsables en vertu du présent chapitre ;

5° Le notifient à l'Autorité des marchés financiers ainsi qu'à l'autorité compétente désignée comme point de contact, au sens du 1 de l'article 79 de la directive 2014/65/UE du Parlement européen et du Conseil du 15 mai 2014 concernant les marchés d'instruments financiers, de la plate-forme de négociation concernée ;

6° Fournissent, de manière ponctuelle et régulière, une description les systèmes et contrôles mentionnés au présent article et la preuve qu'ils ont été appliqués ;

7° Conservent un enregistrement des activités mentionnées au présent article et s'assurent que celui-ci est suffisant pour permettre à l'Autorité des marchés financiers de vérifier le respect des obligations prévues au III de l'article L. 533-10.

" } }, "LEGIARTI000032786615": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L533-10-5", "ETAT": "VIGUEUR", "TYPE": "AUTONOME", "DATE_FIN": "2999-01-01", "DATE_DEBUT": "2018-01-03" } }, "META_COMMUN": { "ID": "LEGIARTI000032786615", "URL": "article/LEGI/ARTI/00/00/32/78/66/LEGIARTI000032786615.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "LEGIARTI000032754227", "@num": "11", "#text": "Ordonnance n°2016-827 du 23 juin 2016 - art. 11", "@sens": "cible", "@cidtexte": "JORFTEXT000032752983", "@nortexte": "FCPT1604110R", "@numtexte": "2016-827", "@typelien": "CREE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2016-06-23" }, { "@id": "LEGIARTI000035530725", "@num": "D632-3-1", "#text": "Code monétaire et financier - art. D632-3-1 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10 (VT)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032754957", "@num": "L533-10-4", "#text": "Code monétaire et financier - art. L533-10-4 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000042735922", "@num": "L745-11", "#text": "Code monétaire et financier - art. L745-11 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000042735910", "@num": "L755-11", "#text": "Code monétaire et financier - art. L755-11 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000042735898", "@num": "L765-11", "#text": "Code monétaire et financier - art. L765-11 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000032786621", "@fin": "2017-06-28", "#text": "Sous-section 2 : Activités de négociation algorithmique", "@debut": "2018-01-03" }, { "@id": "LEGISCTA000035043112", "@fin": "2999-01-01", "#text": "Sous-section 2 : Activités de négociation algorithmique applicables aux prestataires de services d'investissement autres que les sociétés de gestion de portefeuille", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006170858", "@fin": "2999-01-01", "#text": "Section 4 : Règles d'organisation", "@debut": "2007-11-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006154697", "@fin": "2999-01-01", "#text": "Chapitre III : Obligations des prestataires de services d'investissement", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006140119", "@fin": "2999-01-01", "#text": "Titre III : Les prestataires de services d'investissement", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006123943", "@fin": "2999-01-01", "#text": "Livre V : Les prestataires de services", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006101336", "@fin": "2999-01-01", "#text": "Partie législative", "@debut": "2001-01-01" } ] }, "@cid": "LEGITEXT000006072026", "@nature": "CODE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Code monétaire et financier", "@debut": "2001-01-01", "@id_txt": "LEGITEXT000006072026", "@c_titre_court": "Code monétaire et financier" } ], "@date_publi": "2999-01-01", "@date_signature": "2999-01-01" } }, "VERSIONS": { "VERSION": [ { "@etat": "VIGUEUR", "LIEN_ART": { "@id": "LEGIARTI000032786615", "@fin": "2999-01-01", "@num": "L533-10-5", "@etat": "VIGUEUR", "@debut": "2018-01-03", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

Les prestataires de services d'investissement autres que les sociétés de gestion de portefeuille qui ont recours à la négociation algorithmique dans un Etat membre de l'Union européenne ou partie à l'accord sur l'Espace économique européen :

1° Le notifient à l'Autorité des marchés financiers ainsi qu'à l'autorité compétente désignée comme point de contact, au sens du 1 de l'article 79 de la directive 2014/65/UE du Parlement européen et du Conseil du 15 mai 2014 concernant les marchés d'instruments financiers, de la plate-forme de négociation concernée ;

2° Documentent la nature de leurs stratégies de négociation algorithmique et fournissent des informations détaillées sur les paramètres ou limites de négociation, les tests effectués sur leurs systèmes et les principaux contrôles de conformité et des risques mis en place pour garantir que les conditions prévues à l'article L. 533-10-4 sont remplies. L'Autorité des marchés financiers peut, à tout moment, demander aux prestataires des informations complémentaires sur la négociation algorithmique à laquelle ils ont recours et sur les systèmes utilisés pour cette activité ;

3° Conservent un enregistrement des activités de négociation algorithmique et s'assurent que celui-ci est suffisant pour permettre à l'Autorité des marchés financiers de vérifier le respect des obligations prévues au III de l'article L. 533-10.

" } }, "LEGIARTI000032786953": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L745-11", "ETAT": "MODIFIE_MORT_NE", "TYPE": "AUTONOME", "DATE_FIN": "2017-06-28", "DATE_DEBUT": "2018-01-03" } }, "META_COMMUN": { "ID": "LEGIARTI000032786953", "URL": "article/LEGI/ARTI/00/00/32/78/69/LEGIARTI000032786953.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "JORFTEXT000000193847", "#text": "Loi 96-597 1996-07-02 art. 107 II", "@sens": "source", "@cidtexte": "JORFTEXT000000193847", "@nortexte": "ECOX9500164L", "@numtexte": "96-597", "@typelien": "CONCORDANCE", "@naturetexte": "LOI", "@datesignatexte": "1996-07-02" }, { "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@typelien": "CODIFICATION" }, { "@id": "JORFTEXT000032752983", "#text": "Ordonnance n°2016-827 du 23 juin 2016 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000032752983", "@nortexte": "FCPT1604110R", "@numtexte": "2016-827", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2016-06-23" }, { "@id": "LEGIARTI000032754249", "@num": "19", "#text": "Ordonnance n°2016-827 du 23 juin 2016 - art. 19", "@sens": "cible", "@cidtexte": "JORFTEXT000032752983", "@nortexte": "FCPT1604110R", "@numtexte": "2016-827", "@typelien": "MODIFIE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2016-06-23" }, { "@id": "LEGIARTI000033562099", "@num": "168", "#text": "LOI n°2016-1691 du 9 décembre 2016 - art. 168", "@sens": "cible", "@cidtexte": "JORFTEXT000033558528", "@nortexte": "ECFM1605542L", "@numtexte": "2016-1691", "@typelien": "MODIFIE", "@naturetexte": "LOI", "@datesignatexte": "2016-12-09" }, { "@id": "LEGIARTI000035014385", "@num": "19", "#text": "Ordonnance n°2017-1107 du 22 juin 2017 - art. 19", "@sens": "cible", "@cidtexte": "JORFTEXT000035013490", "@nortexte": "ECOT1706653R", "@numtexte": "2017-1107", "@typelien": "CONCORDE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2017-06-22" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032754912", "@num": "L533-10-2", "#text": "Code monétaire et financier - art. L533-10-2 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032754957", "@num": "L533-10-4", "#text": "Code monétaire et financier - art. L533-10-4 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032754972", "@num": "L533-10-5", "#text": "Code monétaire et financier - art. L533-10-5 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032755038", "@num": "L533-10-8", "#text": "Code monétaire et financier - art. L533-10-8 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657834", "@num": "L533-12", "#text": "Code monétaire et financier - art. L533-12 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006658025", "@num": "L533-24", "#text": "Code monétaire et financier - art. L533-24 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032755772", "@num": "L533-24-1", "#text": "Code monétaire et financier - art. L533-24-1 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000028633822", "@num": "L533-25", "#text": "Code monétaire et financier - art. L533-25 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000028633832", "@num": "L533-29", "#text": "Code monétaire et financier - art. L533-29 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657747", "@num": "L533-4", "#text": "Code monétaire et financier - art. L533-4 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657801", "@num": "L533-9", "#text": "Code monétaire et financier - art. L533-9 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006659120", "@num": "L573-1", "#text": "Code monétaire et financier - art. L573-1 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000006185019", "@fin": "2022-02-26", "#text": "Sous-section 3 : Les obligations des prestataires de services d'investissement", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006170763", "@fin": "2022-02-26", "#text": "Section 3 : Les prestataires de services d'investissement", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006154751", "@fin": "2022-02-26", "#text": "Chapitre V : Les prestataires de services", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006140189", "@fin": "2022-02-26", "#text": "Titre IV : Dispositions applicables en Nouvelle-Calédonie", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006124131", "@fin": "2022-02-26", "#text": "Livre VII : Régime de l'outre-mer", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006101336", "@fin": "2999-01-01", "#text": "Partie législative", "@debut": "2001-01-01" } ] }, "@cid": "LEGITEXT000006072026", "@nature": "CODE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Code monétaire et financier", "@debut": "2001-01-01", "@id_txt": "LEGITEXT000006072026", "@c_titre_court": "Code monétaire et financier" } ], "@date_publi": "2999-01-01", "@date_signature": "2999-01-01" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006665016", "@fin": "2009-07-17", "@num": "L745-11", "@etat": "MODIFIE", "@debut": "2001-01-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000020860507", "@fin": "2014-08-24", "@num": "L745-11", "@etat": "MODIFIE", "@debut": "2009-07-17", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000029404123", "@fin": "2014-10-01", "@num": "L745-11", "@etat": "MODIFIE", "@debut": "2014-08-24", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000029025888", "@fin": "2015-07-17", "@num": "L745-11", "@etat": "MODIFIE", "@debut": "2014-10-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000030897807", "@fin": "2016-12-11", "@num": "L745-11", "@etat": "MODIFIE", "@debut": "2015-07-17", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000033615152", "@fin": "2018-01-03", "@num": "L745-11", "@etat": "MODIFIE", "@debut": "2016-12-11", "@origine": "LEGI" } }, { "@etat": "MODIFIE_MORT_NE", "LIEN_ART": { "@id": "LEGIARTI000032786953", "@fin": "2017-06-28", "@num": "L745-11", "@etat": "MODIFIE_MORT_NE", "@debut": "2018-01-03", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000035044990", "@fin": "2019-05-24", "@num": "L745-11", "@etat": "MODIFIE", "@debut": "2018-01-03", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000038615534", "@fin": "2020-12-29", "@num": "L745-11", "@etat": "MODIFIE", "@debut": "2019-05-24", "@origine": "LEGI" } }, { "@etat": "ABROGE", "LIEN_ART": { "@id": "LEGIARTI000042735922", "@fin": "2022-02-26", "@num": "L745-11", "@etat": "ABROGE", "@debut": "2020-12-29", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

I.-Le chapitre III du titre III du livre V est applicable en Nouvelle-Calédonie sous réserve des adaptations prévues au II.

Les articles L. 533-9, L. 533-10, L. 533-10-2 à L. 533-10-8, L. 533-12 à L. 533-20, L. 533-24, L. 533-24-1, L. 533-25, L. 533-29 à L. 533-33 sont applicables dans leur rédaction résultant de l'ordonnance n° 2016-827 du 23 juin 2016 relative aux marchés d'instruments financiers.

L'article L. 533-12-7 est applicable dans sa rédaction résultant de la loi n° 2016-1691 du 9 décembre 2016 relative à la transparence, à la lutte contre la corruption et à la modernisation de la vie économique.

II.-1° Pour l'application du I, les références au code de commerce sont remplacées par les références aux dispositions applicables localement ayant le même objet ;

2° Pour l'application de l'article L. 533-4 :

c) Le dernier alinéa est supprimé ;

3° Pour l'application de l'article L. 533-9, les références au règlement (UE) n° 1227/2011 du Parlement européen et du Conseil du 25 octobre 2011 concernant l'intégrité et la transparence du marché de gros de l'énergie ne sont pas applicables ;

4° Pour l'application des articles L. 533-10-4 et L. 533-10-8, les comportements interdits ou contraires au règlement UE n° 596/2014 du Parlement européen et du Conseil du 16 avril 2014 sur les abus de marché, sont :

-les opérations d'initiés, définies comme l'usage par une personne, pour son propre compte ou pour le compte de tiers, d'informations privilégiées non encore rendues publiques ;

-les manipulations de marchés, définies comme le fait d'effectuer une transaction visant à donner des informations trompeuses ou fausses ;

5° Pour l'application des articles L. 533-10-5 et L. 533-10-8, les mots : \" ainsi qu'à l'autorité compétente désignée comme point de contact pour l'application du paragraphe 1 de l'article 79 de la directive 2014/65/ UE du 15 mai 2014 concernant les marchés d'instruments financiers et modifiant la directive 2002/92/ CE et la directive 2011/61/ UE, de la plate-forme de négociation concernée \" sont supprimés.

III.-Les articles L. 573-1 à L. 573-7 s'y appliquent également.

" } }, "LEGIARTI000032787163": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L755-11", "ETAT": "MODIFIE_MORT_NE", "TYPE": "AUTONOME", "DATE_FIN": "2017-06-28", "DATE_DEBUT": "2018-01-03" } }, "META_COMMUN": { "ID": "LEGIARTI000032787163", "URL": "article/LEGI/ARTI/00/00/32/78/71/LEGIARTI000032787163.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "JORFTEXT000000193847", "#text": "Loi 96-597 1996-07-02 art. 107 II", "@sens": "source", "@cidtexte": "JORFTEXT000000193847", "@nortexte": "ECOX9500164L", "@numtexte": "96-597", "@typelien": "CONCORDANCE", "@naturetexte": "LOI", "@datesignatexte": "1996-07-02" }, { "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@typelien": "CODIFICATION" }, { "@id": "LEGIARTI000006297860", "@num": "49", "#text": "Loi n°83-1 du 3 janvier 1983 - art. 49 (Ab)", "@sens": "source", "@cidtexte": "JORFTEXT000000691996", "@numtexte": "83-1", "@typelien": "CONCORDANCE", "@naturetexte": "LOI", "@datesignatexte": "1983-01-03" }, { "@id": "JORFTEXT000032752983", "#text": "Ordonnance n°2016-827 du 23 juin 2016 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000032752983", "@nortexte": "FCPT1604110R", "@numtexte": "2016-827", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2016-06-23" }, { "@id": "LEGIARTI000032754255", "@num": "22", "#text": "Ordonnance n°2016-827 du 23 juin 2016 - art. 22", "@sens": "cible", "@cidtexte": "JORFTEXT000032752983", "@nortexte": "FCPT1604110R", "@numtexte": "2016-827", "@typelien": "MODIFIE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2016-06-23" }, { "@id": "LEGIARTI000033562099", "@num": "168", "#text": "LOI n°2016-1691 du 9 décembre 2016 - art. 168", "@sens": "cible", "@cidtexte": "JORFTEXT000033558528", "@nortexte": "ECFM1605542L", "@numtexte": "2016-1691", "@typelien": "MODIFIE", "@naturetexte": "LOI", "@datesignatexte": "2016-12-09" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032754912", "@num": "L533-10-2", "#text": "Code monétaire et financier - art. L533-10-2 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032754957", "@num": "L533-10-4", "#text": "Code monétaire et financier - art. L533-10-4 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032754972", "@num": "L533-10-5", "#text": "Code monétaire et financier - art. 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L533-29 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657747", "@num": "L533-4", "#text": "Code monétaire et financier - art. L533-4 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657801", "@num": "L533-9", "#text": "Code monétaire et financier - art. L533-9 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006659120", "@num": "L573-1", "#text": "Code monétaire et financier - art. L573-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006659194", "@num": "L573-7", "#text": "Code monétaire et financier - art. 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I.-Le chapitre III du titre III du livre V est applicable en Polynésie française sous réserve des adaptations prévues au II.

II. 1° Pour l'application du premier alinéa, les références au code de commerce sont remplacées par les références aux dispositions applicables localement ayant le même effet ;

2° Pour l'application de l'article L. 533-4 :

c) Le dernier alinéa est supprimé ;

4° Pour l'application des articles L. 533-10-4 et L. 533-10-8 : Les comportements interdits ou contraires au règlement UE n° 596/2014 du Parlement européen et du Conseil du 16 avril 2014 sur les abus de marché, sont :

-les opérations d'initiés, définies comme l'usage par une personne, pour son propre compte ou pour le compte de tiers, d'informations privilégiées non encore rendues publiques ;

-les manipulations de marchés, définies comme le fait d'effectuer une transaction visant à donner des informations trompeuses ou fausses ;

III.-Les articles L. 573-1 à L. 573-7 s'y appliquent également.

" } }, "LEGIARTI000032787375": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L765-11", "ETAT": "MODIFIE_MORT_NE", "TYPE": "AUTONOME", "DATE_FIN": "2017-06-28", "DATE_DEBUT": "2018-01-03" } }, "META_COMMUN": { "ID": "LEGIARTI000032787375", "URL": "article/LEGI/ARTI/00/00/32/78/73/LEGIARTI000032787375.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "LEGIARTI000006297860", "@num": "49", "#text": "Loi n°83-1 du 3 janvier 1983 - art. 49 (Ab)", "@sens": "source", "@cidtexte": "JORFTEXT000000691996", "@numtexte": "83-1", "@typelien": "CONCORDANCE", "@naturetexte": "LOI", "@datesignatexte": "1983-01-03" }, { "@id": "JORFTEXT000000193847", "#text": "Loi 96-597 1996-07-02 art. 107 II", "@sens": "source", "@cidtexte": "JORFTEXT000000193847", "@nortexte": "ECOX9500164L", "@numtexte": "96-597", "@typelien": "CONCORDANCE", "@naturetexte": "LOI", "@datesignatexte": "1996-07-02" }, { "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@typelien": "CODIFICATION" }, { "@id": "JORFTEXT000032752983", "#text": "Ordonnance n°2016-827 du 23 juin 2016 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000032752983", "@nortexte": "FCPT1604110R", "@numtexte": "2016-827", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2016-06-23" }, { "@id": "LEGIARTI000032754261", "@num": "25", "#text": "Ordonnance n°2016-827 du 23 juin 2016 - art. 25", "@sens": "cible", "@cidtexte": "JORFTEXT000032752983", "@nortexte": "FCPT1604110R", "@numtexte": "2016-827", "@typelien": "MODIFIE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2016-06-23" }, { "@id": "LEGIARTI000033562099", "@num": "168", "#text": "LOI n°2016-1691 du 9 décembre 2016 - art. 168", "@sens": "cible", "@cidtexte": "JORFTEXT000033558528", "@nortexte": "ECFM1605542L", "@numtexte": "2016-1691", "@typelien": "MODIFIE", "@naturetexte": "LOI", "@datesignatexte": "2016-12-09" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. 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L533-29 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657747", "@num": "L533-4", "#text": "Code monétaire et financier - art. L533-4 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657801", "@num": "L533-9", "#text": "Code monétaire et financier - art. L533-9 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006659120", "@num": "L573-1", "#text": "Code monétaire et financier - art. 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I.-Le chapitre III du titre III du livre V est applicable dans les îles Wallis-et-Futuna sous réserve des adaptations prévues au II.

Les articles L. 533-9, L. 533-10, L. 533-10-2 à L. 533-10-8, L. 533-12 à L. 533-20, L. 533-24, L. 533 24-1, L. 533-25, L. 533-29 à L. 533-33 sont applicables dans leur rédaction résultant de l'ordonnance n° 2016-827 du 23 juin 2016 relative aux marchés d'instruments financiers.

II.-1° Pour l'application de l'article L. 533-4 :

c) Le dernier alinéa est supprimé ;

2° Pour l'application de l'article L. 533-9, les références au règlement (UE) n° 1227/2011 du Parlement européen et du Conseil du 25 octobre 2011 concernant l'intégrité et la transparence du marché de gros de l'énergie, ne sont pas applicables ;

3° Pour l'application de l'article L. 533-10-2, les mots : \" au sens du b du paragraphe 1 de l'article 3 du règlement (CE) n° 1060/2009 du Parlement européen et du Conseil du 16 septembre 2009 sur les agences de notation de crédit \" sont remplacés par les mots : \", personnes morales dont l'activité inclut l'émission de notations de crédit à titre professionnel, \" ;

-les opérations d'initiés, définies comme l'usage par une personne, pour son propre compte ou pour le compte de tiers, d'informations privilégiées non encore rendues publiques ;

-les manipulations de marchés, définies comme le fait d'effectuer une transaction visant à donner des informations trompeuses ou fausses ;

Les articles L. 573-1 à L. 573-7 s'y appliquent également.

" } }, "LEGIARTI000032787471": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L511-34", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2020-02-14", "DATE_DEBUT": "2018-01-03" } }, "META_COMMUN": { "ID": "LEGIARTI000032787471", "URL": "article/LEGI/ARTI/00/00/32/78/74/LEGIARTI000032787471.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "JORFTEXT000000886460", "#text": "Loi n° 78-17 du 6 janvier 1978 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000886460", "@numtexte": "78-17", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "1978-01-06" }, { "@id": "LEGIARTI000025918602", "@num": "315-55", "#text": "Arrêté du 12 novembre 2004 - art. 315-55 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000043414077", "@num": "320-20", "#text": "Arrêté du 12 novembre 2004 - art. 320-20 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000043414121", "@num": "321-147", "#text": "Arrêté du 12 novembre 2004 - art. 321-147 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000037541870", "@num": "550-10", "#text": "Arrêté du 12 novembre 2004 - art. 550-10 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000026208019", "@num": "560-13", "#text": "Arrêté du 12 novembre 2004 - art. 560-13 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000020858524", "@num": "5", "#text": "Ordonnance n°2009-865\n du 15 juillet 2009 - art. 5 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000020856565", "@nortexte": "ECET0908445R", "@numtexte": "2009-865", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2009-07-15" }, { "@id": "LEGIARTI000029703510", "@num": "68", "#text": "ARRÊTÉ du 3 novembre 2014 - art. 68 (VT)", "@sens": "cible", "@cidtexte": "JORFTEXT000029700770", "@nortexte": "FCPT1423259A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2014-11-03" }, { "@id": "LEGIARTI000032754237", "@num": "26", "#text": "Ordonnance n°2016-827 du 23 juin 2016 - art. 26", "@sens": "cible", "@cidtexte": "JORFTEXT000032752983", "@nortexte": "FCPT1604110R", "@numtexte": "2016-827", "@typelien": "MODIFIE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2016-06-23" }, { "@id": "LEGIARTI000032754237", "@num": "26", "#text": "Ordonnance n°2016-827 du 23 juin 2016 - art. 26", "@sens": "cible", "@cidtexte": "JORFTEXT000032752983", "@nortexte": "FCPT1604110R", "@numtexte": "2016-827", "@typelien": "CONCORDE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2016-06-23" }, { "@id": "LEGIARTI000043053301", "@num": "22", "#text": "Arrêté du 6 janvier 2021 - art. 22 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000042992976", "@nortexte": "ECOT2100415A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2021-01-06" }, { "@id": "LEGIARTI000029722028", "@num": "L511-24", "#text": "Code monétaire et financier - art. 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Les entreprises établies en France et qui font partie d'un groupe financier ou d'un groupe comprenant au moins une société de financement ou, pour l'application du 2° du présent article, d'un groupe au sens de l'article L. 356-1 du code des assurances, ou d'un groupe mixte ou d'un conglomérat financier auquel appartiennent des entités réglementées au sens de l'article L. 517-2 ayant leur siège social dans un Etat membre de l'Union européenne ou Etat partie à l'accord sur l'Espace économique européen ou dans un Etat où sont applicables les accords prévus aux articles L. 632-7, L. 632-13 et L. 632-16 du présent code sont tenues, nonobstant toutes dispositions contraires, de transmettre à des entreprises du même groupe ayant leur siège social dans l'un de ces Etats :

2° Les informations nécessaires à l'organisation de la lutte contre le blanchiment des capitaux et contre le financement du terrorisme ;

4° Les informations nécessaires à la gestion des conflits d'intérêts au sens du 3° du I et 3° du II de l'article L. 533-10.

Les dispositions du présent article ne font pas obstacle à l'application de la loi n° 78-17 du 6 janvier 1978 relative à l'informatique, aux fichiers et aux libertés.

" } }, "LEGIARTI000032787497": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L211-9", "ETAT": "VIGUEUR", "TYPE": "AUTONOME", "DATE_FIN": "2999-01-01", "DATE_DEBUT": "2018-01-03" } }, "META_COMMUN": { "ID": "LEGIARTI000032787497", "URL": "article/LEGI/ARTI/00/00/32/78/74/LEGIARTI000032787497.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "LEGIARTI000032754237", "@num": "26", "#text": "Ordonnance n°2016-827 du 23 juin 2016 - art. 26", "@sens": "cible", "@cidtexte": "JORFTEXT000032752983", "@nortexte": "FCPT1604110R", "@numtexte": "2016-827", "@typelien": "MODIFIE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2016-06-23" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050369436", "@num": "L742-1", "#text": "Code monétaire et financier - art. L742-1 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000044192508", "@num": "L742-1", "#text": "Code monétaire et financier - art. L742-1 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050369376", "@num": "L743-1", "#text": "Code monétaire et financier - art. L743-1 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050369323", "@num": "L744-1", "#text": "Code monétaire et financier - art. L744-1 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000044192461", "@num": "L762-1", "#text": "Code monétaire et financier - art. L762-1 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000020096271", "@fin": "2999-01-01", "#text": "Paragraphe 3 : Protection du titulaire du compte", "@debut": "2009-01-10" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006184551", "@fin": "2018-07-01", "#text": "Sous-section 2 : Inscription en compte", "@debut": "2001-01-01" }, { "@id": "LEGISCTA000036175307", "@fin": "2999-01-01", "#text": "Sous-section 2 : Inscription des titres financiers", "@debut": "2018-07-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006170019", "@fin": "2009-01-10", "#text": "Section 2 : Règles générales applicables aux valeurs mobilières.", "@debut": "2001-01-01" }, { "@id": "LEGISCTA000020096191", "@fin": "2999-01-01", "#text": "Section 2 : Les titres financiers", "@debut": "2009-01-10" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006154018", "@fin": "2999-01-01", "#text": "Chapitre Ier : Définition et règles générales", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006139777", "@fin": "2999-01-01", "#text": "Titre Ier : Les instruments financiers", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006123871", "@fin": "2999-01-01", "#text": "Livre II : Les produits", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006101336", "@fin": "2999-01-01", "#text": "Partie législative", "@debut": "2001-01-01" } ] }, "@cid": "LEGITEXT000006072026", "@nature": "CODE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Code monétaire et financier", "@debut": "2001-01-01", "@id_txt": "LEGITEXT000006072026", "@c_titre_court": "Code monétaire et financier" } ], "@date_publi": "2999-01-01", "@date_signature": "2999-01-01" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000020096264", "@fin": "2018-01-03", "@num": "L211-9", "@etat": "MODIFIE", "@debut": "2009-01-10", "@origine": "LEGI" } }, { "@etat": "VIGUEUR", "LIEN_ART": { "@id": "LEGIARTI000032787497", "@fin": "2999-01-01", "@num": "L211-9", "@etat": "VIGUEUR", "@debut": "2018-01-03", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

Le teneur de compte-conservateur sauvegarde les droits des titulaires des comptes sur les titres financiers qui y sont inscrits. Il ne peut utiliser ces titres pour son propre compte que dans les conditions prévues au 4° du II de l'article L. 533-10.

" } }, "LEGIARTI000033615135": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L765-11", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2018-01-03", "DATE_DEBUT": "2016-12-11" } }, "META_COMMUN": { "ID": "LEGIARTI000033615135", "URL": "article/LEGI/ARTI/00/00/33/61/51/LEGIARTI000033615135.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "JORFTEXT000000193847", "#text": "Loi 96-597 1996-07-02 art. 107 II", "@sens": "source", "@cidtexte": "JORFTEXT000000193847", "@nortexte": "ECOX9500164L", "@numtexte": "96-597", "@typelien": "CONCORDANCE", "@naturetexte": "LOI", "@datesignatexte": "1996-07-02" }, { "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@typelien": "CODIFICATION" }, { "@id": "LEGIARTI000006297860", "@num": "49", "#text": "Loi n°83-1 du 3 janvier 1983 - art. 49 (Ab)", "@sens": "source", "@cidtexte": "JORFTEXT000000691996", "@numtexte": "83-1", "@typelien": "CONCORDANCE", "@naturetexte": "LOI", "@datesignatexte": "1983-01-03" }, { "@id": "LEGIARTI000033562099", "@num": "168", "#text": "LOI n°2016-1691 du 9 décembre 2016 - art. 168", "@sens": "cible", "@cidtexte": "JORFTEXT000033558528", "@nortexte": "ECFM1605542L", "@numtexte": "2016-1691", "@typelien": "MODIFIE", "@naturetexte": "LOI", "@datesignatexte": "2016-12-09" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657713", "@num": "L533-2", "#text": "Code monétaire et financier - art. L533-2", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657747", "@num": "L533-4", "#text": "Code monétaire et financier - art. L533-4", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006659120", "@num": "L573-1", "#text": "Code monétaire et financier - art. L573-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000006185149", "@fin": "2022-02-26", "#text": "Sous-section 3 : Les obligations des prestataires de services d'investissement", "@debut": "2005-05-07" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006170913", "@fin": "2022-02-26", "#text": "Section 3 : Les prestataires de services d'investissement", "@debut": "2005-05-07" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006154769", "@fin": "2022-02-26", "#text": "Chapitre V : Les prestataires de services", "@debut": "2005-05-07" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006140208", "@fin": "2022-02-26", "#text": "Titre VI : Dispositions applicables dans les îles Wallis-et-Futuna", "@debut": "2005-05-07" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006124131", "@fin": "2022-02-26", "#text": "Livre VII : Régime de l'outre-mer", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006101336", "@fin": "2999-01-01", "#text": "Partie législative", "@debut": "2001-01-01" } ] }, "@cid": "LEGITEXT000006072026", "@nature": "CODE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Code monétaire et financier", "@debut": "2001-01-01", "@id_txt": "LEGITEXT000006072026", "@c_titre_court": "Code monétaire et financier" } ], "@date_publi": "2999-01-01", "@date_signature": "2999-01-01" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006667507", "@fin": "2005-05-07", "@num": "L765-11", "@etat": "MODIFIE", "@debut": "2001-01-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006667508", "@fin": "2009-07-17", "@num": "L765-11", "@etat": "MODIFIE", "@debut": "2005-05-07", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000020860503", "@fin": "2014-08-24", "@num": "L765-11", "@etat": "MODIFIE", "@debut": "2009-07-17", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000029404408", "@fin": "2015-07-17", "@num": "L765-11", "@etat": "MODIFIE", "@debut": "2014-08-24", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000030898263", "@fin": "2016-12-11", "@num": "L765-11", "@etat": "MODIFIE", "@debut": "2015-07-17", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000033615135", "@fin": "2018-01-03", "@num": "L765-11", "@etat": "MODIFIE", "@debut": "2016-12-11", "@origine": "LEGI" } }, { "@etat": "MODIFIE_MORT_NE", "LIEN_ART": { "@id": "LEGIARTI000032787375", "@fin": "2017-06-28", "@num": "L765-11", "@etat": "MODIFIE_MORT_NE", "@debut": "2018-01-03", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000035044916", "@fin": "2019-05-24", "@num": "L765-11", "@etat": "MODIFIE", "@debut": "2018-01-03", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000038615547", "@fin": "2020-12-29", "@num": "L765-11", "@etat": "MODIFIE", "@debut": "2019-05-24", "@origine": "LEGI" } }, { "@etat": "ABROGE", "LIEN_ART": { "@id": "LEGIARTI000042735898", "@fin": "2022-02-26", "@num": "L765-11", "@etat": "ABROGE", "@debut": "2020-12-29", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

I.-Le chapitre III du titre III du livre V est applicable dans les îles Wallis-et-Futuna sous réserve des adaptations prévues au II.

\n
\n

II.-1° Pour l'application de l'article L. 533-2, le premier alinéa est remplacé par les alinéas suivants :

\n
\n

\" a) De la confirmation rapide, lorsque c'est possible par des moyens électroniques, des termes du contrat dérivé de gré à gré concerné ;

\n
\n

2° Pour l'application de l'article L. 533-4 :

\n
\n

c) Le dernier alinéa est supprimé ;

\n
\n

Les articles L. 573-1 à L. 573-7 s'y appliquent également.

" } }, "LEGIARTI000033615143": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L755-11", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2018-01-03", "DATE_DEBUT": "2016-12-11" } }, "META_COMMUN": { "ID": "LEGIARTI000033615143", "URL": "article/LEGI/ARTI/00/00/33/61/51/LEGIARTI000033615143.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@typelien": "CODIFICATION" }, { "@id": "LEGIARTI000006297860", "@num": "49", "#text": "Loi n°83-1 du 3 janvier 1983 - art. 49 (Ab)", "@sens": "source", "@cidtexte": "JORFTEXT000000691996", "@numtexte": "83-1", "@typelien": "CONCORDANCE", "@naturetexte": "LOI", "@datesignatexte": "1983-01-03" }, { "@id": "JORFTEXT000000193847", "#text": "Loi 96-597 1996-07-02 art. 107 II", "@sens": "source", "@cidtexte": "JORFTEXT000000193847", "@nortexte": "ECOX9500164L", "@numtexte": "96-597", "@typelien": "CONCORDANCE", "@naturetexte": "LOI", "@datesignatexte": "1996-07-02" }, { "@id": "LEGIARTI000033562099", "@num": "168", "#text": "LOI n°2016-1691 du 9 décembre 2016 - art. 168", "@sens": "cible", "@cidtexte": "JORFTEXT000033558528", "@nortexte": "ECFM1605542L", "@numtexte": "2016-1691", "@typelien": "MODIFIE", "@naturetexte": "LOI", "@datesignatexte": "2016-12-09" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657713", "@num": "L533-2", "#text": "Code monétaire et financier - art. L533-2", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000029011965", "@num": "L533-22-3", "#text": "Code monétaire et financier - art. L533-22-3", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657747", "@num": "L533-4", "#text": "Code monétaire et financier - art. L533-4", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006659120", "@num": "L573-1", "#text": "Code monétaire et financier - art. L573-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006659194", "@num": "L573-7", "#text": "Code monétaire et financier - art. L573-7", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000006185056", "@fin": "2022-02-26", "#text": "Sous-section 3 : Les obligations des prestataires de services d'investissement", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006170787", "@fin": "2022-02-26", "#text": "Section 3 : Les prestataires de services d'investissement", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006154758", "@fin": "2022-02-26", "#text": "Chapitre V : Les prestataires de services", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006140196", "@fin": "2022-02-26", "#text": "Titre V : Dispositions applicables en Polynésie française", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006124131", "@fin": "2022-02-26", "#text": "Livre VII : Régime de l'outre-mer", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006101336", "@fin": "2999-01-01", "#text": "Partie législative", "@debut": "2001-01-01" } ] }, "@cid": "LEGITEXT000006072026", "@nature": "CODE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Code monétaire et financier", "@debut": "2001-01-01", "@id_txt": "LEGITEXT000006072026", "@c_titre_court": "Code monétaire et financier" } ], "@date_publi": "2999-01-01", "@date_signature": "2999-01-01" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006666285", "@fin": "2009-07-17", "@num": "L755-11", "@etat": "MODIFIE", "@debut": "2001-01-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000020860511", "@fin": "2014-08-24", "@num": "L755-11", "@etat": "MODIFIE", "@debut": "2009-07-17", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000029404283", "@fin": "2014-10-01", "@num": "L755-11", "@etat": "MODIFIE", "@debut": "2014-08-24", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000029025911", "@fin": "2015-07-17", "@num": "L755-11", "@etat": "MODIFIE", "@debut": "2014-10-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000030898091", "@fin": "2016-12-11", "@num": "L755-11", "@etat": "MODIFIE", "@debut": "2015-07-17", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000033615143", "@fin": "2018-01-03", "@num": "L755-11", "@etat": "MODIFIE", "@debut": "2016-12-11", "@origine": "LEGI" } }, { "@etat": "MODIFIE_MORT_NE", "LIEN_ART": { "@id": "LEGIARTI000032787163", "@fin": "2017-06-28", "@num": "L755-11", "@etat": "MODIFIE_MORT_NE", "@debut": "2018-01-03", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000035044952", "@fin": "2019-05-24", "@num": "L755-11", "@etat": "MODIFIE", "@debut": "2018-01-03", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000038615521", "@fin": "2020-12-29", "@num": "L755-11", "@etat": "MODIFIE", "@debut": "2019-05-24", "@origine": "LEGI" } }, { "@etat": "ABROGE", "LIEN_ART": { "@id": "LEGIARTI000042735910", "@fin": "2022-02-26", "@num": "L755-11", "@etat": "ABROGE", "@debut": "2020-12-29", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

I.-Le chapitre III du titre III du livre V est applicable en Polynésie française sous réserve des adaptations prévues au II.

\n
\n

II.-1° Pour l'application de l'article L. 533-2, le premier alinéa est remplacé par les alinéas suivants :

\n
\n

\" a) De la confirmation rapide, lorsque c'est possible par des moyens électroniques, des termes du contrat dérivé de gré à gré concerné ;

\n
\n

2° Pour l'application de l'article L. 533-4 :

\n
\n

c) Le dernier alinéa est supprimé ;

\n
\n

III.-Les articles L. 573-1 à L. 573-7 s'y appliquent également.

" } }, "LEGIARTI000033615152": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L745-11", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2018-01-03", "DATE_DEBUT": "2016-12-11" } }, "META_COMMUN": { "ID": "LEGIARTI000033615152", "URL": "article/LEGI/ARTI/00/00/33/61/51/LEGIARTI000033615152.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "JORFTEXT000000193847", "#text": "Loi 96-597 1996-07-02 art. 107 II", "@sens": "source", "@cidtexte": "JORFTEXT000000193847", "@nortexte": "ECOX9500164L", "@numtexte": "96-597", "@typelien": "CONCORDANCE", "@naturetexte": "LOI", "@datesignatexte": "1996-07-02" }, { "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@typelien": "CODIFICATION" }, { "@id": "LEGIARTI000033562099", "@num": "168", "#text": "LOI n°2016-1691 du 9 décembre 2016 - art. 168", "@sens": "cible", "@cidtexte": "JORFTEXT000033558528", "@nortexte": "ECFM1605542L", "@numtexte": "2016-1691", "@typelien": "MODIFIE", "@naturetexte": "LOI", "@datesignatexte": "2016-12-09" }, { "@id": "LEGIARTI000035014385", "@num": "19", "#text": "Ordonnance n°2017-1107 du 22 juin 2017 - art. 19", "@sens": "cible", "@cidtexte": "JORFTEXT000035013490", "@nortexte": "ECOT1706653R", "@numtexte": "2017-1107", "@typelien": "CONCORDE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2017-06-22" }, { "@id": "LEGIARTI000029012418", "@num": "L227-2-1", "#text": "Code de commerce - art. L227-2-1", "@sens": "source", "@cidtexte": "LEGITEXT000005634379", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657713", "@num": "L533-2", "#text": "Code monétaire et financier - art. L533-2", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000029011965", "@num": "L533-22-3", "#text": "Code monétaire et financier - art. L533-22-3", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657747", "@num": "L533-4", "#text": "Code monétaire et financier - art. L533-4", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006659120", "@num": "L573-1", "#text": "Code monétaire et financier - art. L573-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000006185019", "@fin": "2022-02-26", "#text": "Sous-section 3 : Les obligations des prestataires de services d'investissement", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006170763", "@fin": "2022-02-26", "#text": "Section 3 : Les prestataires de services d'investissement", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006154751", "@fin": "2022-02-26", "#text": "Chapitre V : Les prestataires de services", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006140189", "@fin": "2022-02-26", "#text": "Titre IV : Dispositions applicables en Nouvelle-Calédonie", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006124131", "@fin": "2022-02-26", "#text": "Livre VII : Régime de l'outre-mer", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006101336", "@fin": "2999-01-01", "#text": "Partie législative", "@debut": "2001-01-01" } ] }, "@cid": "LEGITEXT000006072026", "@nature": "CODE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Code monétaire et financier", "@debut": "2001-01-01", "@id_txt": "LEGITEXT000006072026", "@c_titre_court": "Code monétaire et financier" } ], "@date_publi": "2999-01-01", "@date_signature": "2999-01-01" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006665016", "@fin": "2009-07-17", "@num": "L745-11", "@etat": "MODIFIE", "@debut": "2001-01-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000020860507", "@fin": "2014-08-24", "@num": "L745-11", "@etat": "MODIFIE", "@debut": "2009-07-17", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000029404123", "@fin": "2014-10-01", "@num": "L745-11", "@etat": "MODIFIE", "@debut": "2014-08-24", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000029025888", "@fin": "2015-07-17", "@num": "L745-11", "@etat": "MODIFIE", "@debut": "2014-10-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000030897807", "@fin": "2016-12-11", "@num": "L745-11", "@etat": "MODIFIE", "@debut": "2015-07-17", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000033615152", "@fin": "2018-01-03", "@num": "L745-11", "@etat": "MODIFIE", "@debut": "2016-12-11", "@origine": "LEGI" } }, { "@etat": "MODIFIE_MORT_NE", "LIEN_ART": { "@id": "LEGIARTI000032786953", "@fin": "2017-06-28", "@num": "L745-11", "@etat": "MODIFIE_MORT_NE", "@debut": "2018-01-03", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000035044990", "@fin": "2019-05-24", "@num": "L745-11", "@etat": "MODIFIE", "@debut": "2018-01-03", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000038615534", "@fin": "2020-12-29", "@num": "L745-11", "@etat": "MODIFIE", "@debut": "2019-05-24", "@origine": "LEGI" } }, { "@etat": "ABROGE", "LIEN_ART": { "@id": "LEGIARTI000042735922", "@fin": "2022-02-26", "@num": "L745-11", "@etat": "ABROGE", "@debut": "2020-12-29", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

I.-Le chapitre III du titre III du livre V est applicable en Nouvelle-Calédonie sous réserve des adaptations prévues au II.

\n
\n

II.-1° Pour l'application de l'article L. 533-2, le premier alinéa est remplacé par les alinéas suivants :

\n
\n

\" a) De la confirmation rapide, lorsque c'est possible par des moyens électroniques, des termes du contrat dérivé de gré à gré concerné ;

\n
\n

2° Pour l'application de l'article L. 533-4 :

\n
\n

c) Le dernier alinéa est supprimé ;

\n
\n

III.-Les articles L. 573-1 à L. 573-7 s'y appliquent également.

" } }, "LEGIARTI000033662576": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "315-68", "ETAT": "ABROGE", "TYPE": "AUTONOME", "DATE_FIN": "2018-01-03", "DATE_DEBUT": "2016-12-18" } }, "META_COMMUN": { "ID": "LEGIARTI000033662576", "URL": "article/LEGI/ARTI/00/00/33/66/25/LEGIARTI000033662576.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "LEGIARTI000033625964", "#text": "Arrêté du 14 décembre 2016 - art.", "@sens": "cible", "@cidtexte": "JORFTEXT000033623353", "@nortexte": "ECFT1636300A", "@typelien": "MODIFIE", "@naturetexte": "ARRETE", "@datesignatexte": "2016-12-14" }, { "@id": "LEGIARTI000036830462", "#text": "Arrêté du 20 décembre 2017 - art.", "@sens": "cible", "@cidtexte": "JORFTEXT000036249833", "@nortexte": "ECOT1735827A", "@typelien": "ABROGE", "@naturetexte": "ARRETE", "@datesignatexte": "2017-12-20" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000029436032", "@fin": "2018-01-03", "#text": "Section 9 : Encadrement de la négociation automatisée et à haute fréquence", "@debut": "2014-09-11" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025893637", "@fin": "2999-01-01", "#text": "Chapitre V : Autres dispositions", "@debut": "2007-11-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025363847", "@fin": "2007-11-01", "#text": "TITRE IER : Services", "@debut": "2004-11-25" }, { "@id": "LEGISCTA000025742926", "@fin": "2999-01-01", "#text": "TITRE IER : Prestataires de services d'investissement", "@debut": "2007-11-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025363846", "@fin": "2999-01-01", "#text": "LIVRE III : Prestataires", "@debut": "2004-11-25" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025347548", "@fin": "2999-01-01", "#text": "REGLEMENT GENERAL DE L'AUTORITE DES MARCHES FINANCIERS (RGAMF)", "@debut": "2004-11-25" } ] }, "@cid": "JORFTEXT000000606599", "@nor": "ECOT0420062A", "@nature": "ARRETE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Arrêté du 12 novembre 2004 portant homologation des livres II à VI du règlement général de l'Autorité des marchés financiers", "@debut": "2999-01-01", "@id_txt": "JORFTEXT000000606599", "@c_titre_court": "Arrêté du 12 novembre 2004" }, { "@fin": "2999-01-01", "#text": "Arrêté du 12 novembre 2004 portant homologation des livres II à VI du règlement général de l'Autorité des marchés financiers (RGAMF)", "@debut": "2004-11-25", "@id_txt": "LEGITEXT000022441606", "@c_titre_court": "Arrêté du 12 novembre 2004" } ], "@ministere": "MINISTERE DE L'ECONOMIE, DES FINANCES ET DE L'INDUSTRIE", "@date_publi": "2004-11-24", "@date_signature": "2004-11-12", "@num_parution_jo": "0273" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000029436073", "@fin": "2016-12-18", "@num": "315-68", "@etat": "MODIFIE", "@debut": "2014-09-11", "@origine": "LEGI" } }, { "@etat": "ABROGE", "LIEN_ART": { "@id": "LEGIARTI000033662576", "@fin": "2018-01-03", "@num": "315-68", "@etat": "ABROGE", "@debut": "2016-12-18", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

Au sens du présent article, une plate-forme de négociation est un marché réglementé ou un système multilatéral de négociation.

L'accord écrit prévoit en particulier les modalités de filtrage des ordres appropriées pour prévenir toute perturbation du marché.

\n
" } }, "LEGIARTI000035018783": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L621-13-7", "ETAT": "VIGUEUR", "TYPE": "AUTONOME", "DATE_FIN": "2999-01-01", "DATE_DEBUT": "2018-01-03" } }, "META_COMMUN": { "ID": "LEGIARTI000035018783", "URL": "article/LEGI/ARTI/00/00/35/01/87/LEGIARTI000035018783.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "LEGIARTI000035014371", "@num": "12", "#text": "Ordonnance n°2017-1107 du 22 juin 2017 - art. 12", "@sens": "cible", "@cidtexte": "JORFTEXT000035013490", "@nortexte": "ECOT1706653R", "@numtexte": "2017-1107", "@typelien": "CREE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2017-06-22" }, { "@id": "LEGIARTI000006652335", "@num": "L421-1", "#text": "Code monétaire et financier - art. L421-1 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006658025", "@num": "L533-24", "#text": "Code monétaire et financier - art. L533-24 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032755772", "@num": "L533-24-1", "#text": "Code monétaire et financier - art. L533-24-1 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000044991625", "@num": "L746-5", "#text": "Code monétaire et financier - art. L746-5 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000044991571", "@num": "L756-5", "#text": "Code monétaire et financier - art. L756-5 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006833442", "@num": "L229-7", "#text": "Code de l'environnement - art. L229-7 (M)", "@sens": "source", "@cidtexte": "LEGITEXT000006074220", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000006185117", "@fin": "2015-12-05", "#text": "Sous-section 4 : Injonctions et mesures d'urgence", "@debut": "2003-08-02" }, { "@id": "LEGISCTA000031564620", "@fin": "2999-01-01", "#text": "Sous-section 4 : Injonctions, mesures d'urgence et autres mesures", "@debut": "2015-12-05" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006170689", "@fin": "2999-01-01", "#text": "Section 4 : Pouvoirs", "@debut": "2003-08-02" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006154725", "@fin": "2999-01-01", "#text": "Chapitre unique : L'Autorité des marchés financiers", "@debut": "2003-08-02" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006140166", "@fin": "2999-01-01", "#text": "Titre II : L'Autorité des marchés financiers", "@debut": "2003-08-02" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006124085", "@fin": "2999-01-01", "#text": "Livre VI : Les institutions en matière bancaire et financière", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006101336", "@fin": "2999-01-01", "#text": "Partie législative", "@debut": "2001-01-01" } ] }, "@cid": "LEGITEXT000006072026", "@nature": "CODE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Code monétaire et financier", "@debut": "2001-01-01", "@id_txt": "LEGITEXT000006072026", "@c_titre_court": "Code monétaire et financier" } ], "@date_publi": "2999-01-01", "@date_signature": "2999-01-01" } }, "VERSIONS": { "VERSION": [ { "@etat": "VIGUEUR", "LIEN_ART": { "@id": "LEGIARTI000035018783", "@fin": "2999-01-01", "@num": "L621-13-7", "@etat": "VIGUEUR", "@debut": "2018-01-03", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

I.-L'Autorité des marchés financiers peut suspendre la commercialisation ou la vente d'instruments financiers, des unités mentionnées à l'article L. 229-7 du code de l'environnement ou des actifs mentionnés au II de l'article L. 421-1 lorsque les conditions des articles 42 du règlement (UE) n° 600/2014 du Parlement européen et du Conseil du 15 mai 2014 sont remplies.
\n
II.-L'Autorité des marchés financiers peut suspendre la commercialisation ou la vente d'instruments financiers, des unités mentionnées à l'article L. 229-7 du code de l'environnement ou des actifs mentionnés au II de l'article L. 421-1 lorsque l'entreprise d'investissement n'a pas développé ou appliqué un véritable processus d'approbation de produit, ou ne s'est pas conformée aux prescriptions du 3 du II de l'article L. 533-10, à l'article L. 533-24 et aux 3 et 4 de l'article L. 533-24-1.

" } }, "LEGIARTI000035043006": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L532-21-3", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2019-05-24", "DATE_DEBUT": "2018-01-03" } }, "META_COMMUN": { "ID": "LEGIARTI000035043006", "URL": "article/LEGI/ARTI/00/00/35/04/30/LEGIARTI000035043006.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "NOTA": { "CONTENU": "

(1) Au lieu de \"L. 533-22-3 A\" lire \"L. 533-22-2-1\".

" }, "LIENS": { "LIEN": [ { "@id": "LEGIARTI000036894624", "@num": "319-1", "#text": "Arrêté du 12 novembre 2004 - art. 319-1 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000042571360", "@num": "320-13", "#text": "Arrêté du 12 novembre 2004 - art. 320-13 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000042571348", "@num": "320-24", "#text": "Arrêté du 12 novembre 2004 - art. 320-24 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000035014361", "@num": "7", "#text": "Ordonnance n°2017-1107 du 22 juin 2017 - art. 7", "@sens": "cible", "@cidtexte": "JORFTEXT000035013490", "@nortexte": "ECOT1706653R", "@numtexte": "2017-1107", "@typelien": "MODIFIE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2017-06-22" }, { "@id": "LEGIARTI000042562263", "#text": "Arrêté du 10 novembre 2020 - art.", "@sens": "cible", "@cidtexte": "JORFTEXT000042558594", "@nortexte": "ECOT2030278A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2020-11-10" }, { "@id": "LEGIARTI000046154988", "@num": "1", "#text": "Arrêté du 5 août 2022 - art. 1 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000046150481", "@nortexte": "ECOT2222069A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2022-08-05" }, { "@id": "LEGIARTI000038611709", "@num": "L214-24", "#text": "Code monétaire et financier - art. L214-24 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657522", "@num": "L532-18", "#text": "Code monétaire et financier - art. L532-18", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657534", "@num": "L532-18-1", "#text": "Code monétaire et financier - art. L532-18-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000027764519", "@num": "L532-43", "#text": "Code monétaire et financier - art. L532-43 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000027764525", "@num": "L532-46", "#text": "Code monétaire et financier - art. L532-46 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657822", "@num": "L533-11", "#text": "Code monétaire et financier - art. L533-11", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000048526883", "@num": "L561-2", "#text": "Code monétaire et financier - art. L561-2 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050361219", "@num": "L561-36", "#text": "Code monétaire et financier - art. 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II.-L'Autorité des marchés financiers surveille le respect par les sociétés de gestion mentionnées au I des dispositions de l'article L. 533-22-3 A et du 3° du I de l'article L. 533-10 lorsque ces sociétés de gestion gèrent un FIA ou en commercialise les parts ou actions en libre établissement.

Lorsque l'activité de la société de gestion sur ces territoires consiste à gérer des FIA, l'Autorité des marchés financiers peut exiger qu'elle mette un terme à la gestion de ces FIA.

Si, en dépit des mesures prises par l'autorité compétente de l'Etat d'origine ou en raison du caractère inadéquat de ces mesures ou en l'absence d'action dans un délai raisonnable de sa part, la société de gestion continue d'agir d'une manière clairement préjudiciable aux intérêts des porteurs ou actionnaires du FIA concerné, de la stabilité financière, ou de l'intégrité du marché français, l'Autorité des marchés financiers, après en avoir informé l'autorité compétente de l'Etat d'origine de la société de gestion, prend les mesures nécessaires pour protéger les porteurs de parts ou actionnaires du FIA concerné, la stabilité financière et l'intégrité du marché français, y compris l'interdiction pour la société de gestion de continuer à commercialiser des parts ou actions du FIA concerné sur le territoire de la France métropolitaine, de la Guadeloupe, de la Guyane, de la Martinique, de La Réunion, de Mayotte et de Saint-Martin.

\n
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I.-Les prestataires de services d'investissement autres que les sociétés de gestion de portefeuille prennent toutes les mesures suffisantes pour obtenir, lors de l'exécution des ordres, le meilleur résultat possible pour leurs clients compte tenu du prix, du coût, de la rapidité, de la probabilité d'exécution et du règlement, de la taille, de la nature de l'ordre ou de toutes autres considérations relatives à l'exécution de l'ordre. Néanmoins, chaque fois qu'il existe une instruction spécifique donnée par les clients, les prestataires exécutent l'ordre en suivant cette instruction.

Lorsque les prestataires de services d'investissement autres que les sociétés de gestion de portefeuille exécutent des ordres pour le compte de clients non professionnels, le meilleur résultat possible est déterminé sur la base du coût total. Le coût total est le prix de l'instrument financier augmenté des coûts liés à l'exécution, qui incluent toutes les dépenses encourues par le client directement liées à l'exécution de l'ordre, y compris les frais propres au lieu d'exécution, les frais de compensation et de règlement et tous les autres frais éventuellement payés à des tiers ayant participé à l'exécution de l'ordre.

II.-Les prestataires de services d'investissement autres que les sociétés de gestion de portefeuille établissent et mettent en oeuvre des dispositions efficaces pour se conformer au I. Ils établissent et mettent en oeuvre une politique d'exécution des ordres leur permettant d'obtenir, pour les ordres de leurs clients, le meilleur résultat possible conformément au I.

III.-La politique d'exécution des ordres inclut, en ce qui concerne chaque catégorie d'instruments financiers, des informations sur les différents lieux d'exécution dans lesquels le prestataire de services d'investissement autre qu'une société de gestion de portefeuille exécute les ordres de ses clients et les facteurs influençant le choix du lieu d'exécution. Elle inclut au moins les lieux d'exécution qui permettent au prestataire d'obtenir, dans la plupart des cas, le meilleur résultat possible pour l'exécution des ordres des clients.

Les prestataires de services d'investissement autres que les sociétés de gestion de portefeuille fournissent des informations appropriées à leurs clients sur leur politique d'exécution des ordres. Ces informations expliquent clairement, de façon suffisamment détaillée et facilement compréhensible par les clients, la manière dont les ordres seront exécutés par les prestataires pour leurs clients. Ils obtiennent le consentement préalable de leurs clients sur cette politique d'exécution.

Lorsque la politique d'exécution des ordres prévoit que les ordres des clients peuvent être exécutés en dehors d'une plate-forme de négociation, les prestataires de services d'investissement autres que les sociétés de gestion de portefeuille informent notamment leurs clients ou leurs clients potentiels de cette possibilité. Les prestataires obtiennent le consentement préalable exprès de leurs clients avant de procéder à l'exécution de leurs ordres en dehors d'une plate-forme de négociation.

Les prestataires de services d'investissement autres que les sociétés de gestion de portefeuille peuvent obtenir ce consentement soit sous la forme d'un accord général soit pour des transactions déterminées.

IV.-A la demande de leurs clients, les prestataires de services d'investissement autres que les sociétés de gestion de portefeuille doivent pouvoir démontrer qu'ils ont exécuté leurs ordres conformément à leur politique d'exécution.

V.-Les prestataires de services d'investissement autres que les sociétés de gestion de portefeuille ne reçoivent aucune rémunération, aucune remise ou aucun avantage non monétaire pour l'acheminement d'ordres vers une plate-forme de négociation ou un lieu d'exécution particulier qui méconnaîtrait les exigences résultant des I du présent article, 3° des I ou II de l'article L. 533-10, des articles L. 533-11 à L. 533-12-4 et des articles L. 533-24 et L. 533-24-1.

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I.-En vue de fournir les services mentionnés aux 4 ou 5 de l'article L. 321-1, les prestataires de services d'investissement autres que les sociétés de gestion de portefeuille se procurent les informations nécessaires concernant les connaissances et l'expérience de leurs clients, notamment de leurs clients potentiels, en matière d'investissement en rapport avec le type spécifique d'instrument financier ou de service, leur situation financière, y compris leur capacité à subir des pertes, et leurs objectifs d'investissement, y compris leur tolérance au risque, de manière à pouvoir leur recommander les services d'investissement et les instruments financiers adéquats et adaptés à leur tolérance au risque et à leur capacité à subir des pertes.

Lorsque la fourniture du service d'investissement mentionné au 5 de l'article L. 321-1 conduit à recommander une offre groupée au sens de l'article L. 533-12-1, les prestataires autres que les sociétés de gestion de portefeuille veillent à ce que l'offre groupée dans son ensemble soit adéquate.

II.-En vue de fournir un service autre que ceux mentionnés au I, les prestataires de services d'investissement autres que les sociétés de gestion de portefeuille demandent à leurs clients, notamment leurs clients potentiels, des informations sur leurs connaissances et leur expérience en matière d'investissement, en rapport avec le type spécifique d'instrument financier ou de service proposé ou demandé, pour être en mesure de déterminer si le service ou l'instrument financier est approprié.

Lorsqu'une offre groupée de services ou de produits au sens de l'article L. 533-12-1 est envisagée, l'évaluation porte sur le caractère approprié de l'offre groupée dans son ensemble.

Lorsque les prestataires de services d'investissement autres que les sociétés de gestion de portefeuille estiment, sur la base des informations fournies, que le service ou l'instrument financier n'est pas adapté aux clients, notamment aux clients potentiels, ils les en avertissent. Cet avertissement peut être transmis sous une forme normalisée dans des conditions fixées par le règlement général de l'Autorité des marchés financiers .

III.-Les prestataires de services d'investissement autres que les sociétés de gestion de portefeuille peuvent fournir les services mentionnés aux 1 ou 2 de l'article L. 321-1 avec ou sans services connexes, à l'exclusion de l'octroi de crédits ou de prêts mentionné au 2 de l'article L. 321-2 dans le cadre desquels les limites existantes concernant les prêts, les comptes courants et les découverts pour les clients ne s'appliquent pas, sans appliquer les dispositions du II du présent article, dans les conditions suivantes :

1° Le service porte sur des instruments financiers non complexes définis par décret ;

2° Le service est fourni à l'initiative du client, notamment du client potentiel ;

4° Le prestataire s'est conformé au 3° des I ou II de l'article L. 533-10.

\n
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I. – Lorsque la solvabilité ou la liquidité d'une personne soumise au contrôle de l'Autorité ou lorsque les intérêts de ses clients, assurés, adhérents ou bénéficiaires, sont compromis ou susceptibles de l'être, ou lorsque les informations reçues ou demandées par l'Autorité pour l'exercice du contrôle sont de nature à établir que cette personne est susceptible de manquer dans un délai de douze mois aux obligations prévues par le règlement (UE) n° 575/2013 du Parlement européen et du Conseil du 26 juin 2013, par une disposition des titres Ier et III du livre V ou d'un règlement pris pour son application ou par toute autre disposition législative ou réglementaire dont la méconnaissance entraîne celle des dispositions précitées, l'Autorité de contrôle prudentiel et de résolution prend les mesures conservatoires nécessaires.

Elle peut, à ce titre :

1° Placer la personne sous surveillance spéciale ;

2° Charger un ou plusieurs de ses agents d'exercer une mission de contrôle permanent au sein de la personne concernée afin d'y assurer un suivi rapproché de sa situation ;

3° Limiter ou interdire temporairement l'exercice de certaines opérations ou activités par cette personne, y compris l'acceptation de primes ou dépôts ;

4° Suspendre, restreindre ou interdire temporairement la libre disposition de tout ou partie des actifs de la personne contrôlée ;

5° Exiger de cette personne la cession d'activités ;

6° Limiter le nombre des agences ou des succursales de cette personne ;

7° Ordonner à une personne mentionnée aux 1°, 3°, 5° et 9° à 11° du B du I de l'article L. 612-2 de suspendre, retarder ou limiter, pour tout ou partie du portefeuille, le paiement des valeurs de rachat, la faculté d'arbitrages, le versement d'avances sur contrat ou la faculté de renonciation ;

8° Prononcer le transfert d'office de tout ou partie d'un portefeuille de crédits ou de dépôts d'un établissement de crédit ;

9° Décider d'interdire ou de limiter la distribution d'un dividende aux actionnaires, d'une rémunération des certificats mutualistes ou paritaires ou d'une rémunération des parts sociales aux sociétaires de ces personnes ;

10° Décider d'interdire ou de limiter le paiement d'intérêts aux détenteurs d'instruments de fonds propres additionnels de catégorie 1 définis à l'article 52 du règlement (UE) n° 575/2013 du Parlement européen et du Conseil du 26 juin 2013, sauf si cette limitation ou interdiction devait être considérée comme un événement de défaut des personnes soumises au contrôle de l'Autorité ;

11° Exiger la réduction du risque inhérent aux activités, aux produits et aux systèmes des établissements de crédit, entreprises d'investissement et sociétés de financement ;

12° Suspendre un ou plusieurs dirigeants de la personne contrôlée ;

13° Enjoindre à une des personnes mentionnées aux 1°, 3°, 5° et 9° à 11° du B du I de l'article L. 612-2 du présent code de déposer, dans un délai qu'elle fixe et qui ne peut être inférieur à quatre mois, une demande de transfert de tout ou partie de son portefeuille de contrats d'assurance, d'opérations ou de bulletins d'adhésion à des contrats ou règlements, dans les conditions prévues aux articles L. 324-1 et L. 384-1 à L. 384-3 du code des assurances, L. 212-11 et L. 214-11 du code de la mutualité et L. 931-16 et L. 941-13 du code de la sécurité sociale ;

14° Prononcer, après avoir constaté l'échec de la procédure de transfert prévue au 13° du présent I, le transfert d'office de tout ou partie du portefeuille de contrats d'assurance, d'opérations ou de bulletins d'adhésion à des contrats ou règlements détenu par les personnes mentionnées aux 1°, 3°, 5° et 9° à 11° du B du I de l'article L. 612-2 dans les conditions prévues à l'article L. 612-33-2.

II. – Lorsque l'Autorité de contrôle prudentiel et de résolution estime que les mesures d'intervention précoce prises en application de l'article L. 511-41-5 ne sont pas suffisantes soit pour mettre fin à de graves violations par un établissement de crédit, une entreprise d'investissement mentionnée au 2° du I de l'article L. 613-34 ou une société de financement mentionnée au II de l'article L. 613-34 de la réglementation qui lui est applicable ou des stipulations de ses statuts, soit pour rétablir sa situation financière, elle peut révoquer une ou plusieurs personnes mentionnées à l'article L. 511-13 ou au 4 de l'article L. 532-2, ou tout ou partie des membres du conseil d'administration, du conseil de surveillance ou de tout autre organe exerçant des fonctions de surveillance équivalentes.

III. – L'Autorité de contrôle prudentiel et de résolution peut suspendre les personnes mentionnées à l'article L. 612-23-1 lorsqu'elles ne remplissent plus les conditions d'honorabilité, de compétences, d'expérience ou, le cas échéant, de connaissances requises par leur fonction et que l'urgence justifie cette mesure en vue d'assurer une gestion saine et prudente.

IV. – En cas de manquement aux règles destinées à assurer la protection de la clientèle en matière de commercialisation des dépôts structurés, l'Autorité de contrôle prudentiel et de résolution peut suspendre la commercialisation ou la vente de dépôts structurés lorsque les conditions des articles 42 du règlement (UE) n° 600/2014 du 15 mai 2014 sont remplies ou lorsqu'un établissement de crédit n'a pas développé ou appliqué un véritable processus d'approbation de produit, ou ne s'est pas conformé aux prescriptions du 3 du II de l'article L. 533-10, à l'article L. 533-24 et aux 3 et 4 de l'article L. 533-24-1 du présent code.

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\n
A créé les dispositions suivantes :

- Arrêté du 12 novembre 2004
Art. 314-76-5, Art. 314-76-6, Art. 314-76-7, Sct. Paragraphe 3 : Dispositions relatives aux incitations en lien avec la recherche
\n

\n
\n
A modifié les dispositions suivantes :

- Arrêté du 12 novembre 2004
Art. 314-77, Art. 314-82
\n

\n
\n
A modifié les dispositions suivantes :

- Arrêté du 12 novembre 2004
\n Art. 322-5-1, Art. 322-7, Art. 322-10, Art. 322-11, Sct. Sous-Section 3 :
\n

\n
\n
A modifié les dispositions suivantes :

- Arrêté du 12 novembre 2004
\n Sct. Sous-Section 3 :, Sct. Section 7 : Incitations, Sct. Sous-section 1 : Dispositions applicables aux prestataires de services d'investissement autres que les sociétés de gestion de portefeuille : incitations, Sct. Paragraphe 1 : Incitations, Art. 314-76, Art. 314-76-1, Art. 314-76-2, Art. 314-76-3, Art. 314-76-4, Sct. Paragraphe 2 : Incitations lors de la fourniture du service de conseil en investissement indépendant ou du service de gestion de portefeuille pour le compte de tiers, Art. 314-76-5, Art. 314-76-6, Art. 314-76-7, Sct. Paragraphe 3 : Dispositions relatives aux incitations en lien avec la recherche, Art. 314-76-8, Art. 314-76-9, Art. 314-76-10, Art. 314-76-11, Art. 314-76-12, Art. 314-76-13, Art. 314-76-14, Art. 314-76-15, Art. 314-76-16, Sct. Sous-section 2 : Dispositions particulières applicables à la gestion collective et à la gestion de portefeuille pour le compte de tiers, Art. 314-77, Art. 314-77-1, Art. 314-82\n
\n

\n
\n
A modifié les dispositions suivantes :

- Arrêté du 12 novembre 2004
Art. 314-77, Art. 314-77-1\n
\n

\n
\n
A créé les dispositions suivantes :

- Arrêté du 12 novembre 2004
\n Art. 313-79, Art. 313-80, Art. 313-81, Art. 313-82, Art. 313-83, Art. 313-84, Art. 313-85, Art. 313-86, Art. 313-87, Art. 313-88, Art. 313-89, Art. 313-90, Art. 313-91, Art. 313-92, Art. 313-93, Sct. Section 2 : Obligations en matière de gouvernance des instruments financiers applicables aux distributeurs\n
\n

\n
\n
A créé les dispositions suivantes :

- Arrêté du 12 novembre 2004
\n Art. 313-94, Art. 313-95, Art. 313-96, Art. 313-97, Art. 313-98, Art. 313-99, Art. 313-100, Art. 313-101, Art. 313-102, Art. 313-103\n
\n

\n
\n
A modifié les dispositions suivantes :

- Arrêté du 12 novembre 2004
\n Sct. Section 7 : Incitations, Sct. Sous-section 1 : Dispositions applicables aux prestataires de services d'investissement autres que les sociétés de gestion de portefeuille : incitations, Sct. Paragraphe 1 : Incitations, Art. 314-76, Art. 314-76-1, Art. 314-76-2, Art. 314-76-3, Art. 314-76-4, Sct. Paragraphe 2 : Incitations lors de la fourniture du service de conseil en investissement indépendant ou du service de gestion de portefeuille pour le compte de tiers\n
\n

\n
\n
A créé les dispositions suivantes :

- Arrêté du 12 novembre 2004
Art. 313-17-2, Art. 313-17-3, Art. 313-17-4, Art. 313-17-5, Art. 313-17-6, Art. 313-17-7, Art. 313-17-8\n
\n

\n
\n
A modifié les dispositions suivantes :

- Arrêté du 12 novembre 2004
Sct. Chapitre III bis : Exigences en matière de gouvernance des instruments financiers, Art. 313-78, Art. 313-78-1, Sct. Section 1 : Obligations en matière de gouvernance des instruments financiers applicables aux producteurs\n
\n

\n
\n
A modifié les dispositions suivantes :

- Arrêté du 12 novembre 2004
Art. 311-0, Art. 313-13, Art. 313-13-1, Art. 313-14, Art. 313-15, Art. 313-16, Art. 313-16-1, Art. 313-17\n
\n

\n
\n
A créé les dispositions suivantes :

- Arrêté du 12 novembre 2004
\n Art. 314-76-8, Art. 314-76-9, Art. 314-76-10, Art. 314-76-11, Art. 314-76-12, Art. 314-76-13, Art. 314-76-14, Art. 314-76-15, Art. 314-76-16\n
\n

\n
\n
A modifié les dispositions suivantes :

- Arrêté du 12 novembre 2004
\n Sct. Sous-section 2 : Dispositions particulières applicables à la gestion collective et à la gestion de portefeuille pour le compte de tiers\n
\n

\n
\n
A abrogé les dispositions suivantes :

- Arrêté du 12 novembre 2004
\n Art. 314-86\n
\n

\n
" } }, "LEGIARTI000035172504": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "313-13-1", "ETAT": "ABROGE", "TYPE": "AUTONOME", "DATE_FIN": "2018-01-03", "DATE_DEBUT": "2018-01-03" } }, "META_COMMUN": { "ID": "LEGIARTI000035172504", "URL": "article/LEGI/ARTI/00/00/35/17/25/LEGIARTI000035172504.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "LEGIARTI000035171880", "#text": "Arrêté du 3 juillet 2017 - art.", "@sens": "cible", "@cidtexte": "JORFTEXT000035168547", "@nortexte": "ECOT1719088A", "@typelien": "CREE", "@naturetexte": "ARRETE", "@datesignatexte": "2017-07-03" }, { "@id": "LEGIARTI000036830462", "#text": "Arrêté du 20 décembre 2017 - art.", "@sens": "cible", "@cidtexte": "JORFTEXT000036249833", "@nortexte": "ECOT1735827A", "@typelien": "ABROGE", "@naturetexte": "ARRETE", "@datesignatexte": "2017-12-20" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000025786006", "@fin": "2018-01-03", "#text": "Sous-section 5 : Protection des avoirs des clients", "@debut": "2007-11-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025780215", "@fin": "2018-01-03", "#text": "Section 1 : Règles d'organisation applicables \r\nà l'ensemble des prestataires de services d'investissement", "@debut": "2007-11-01" }, { "@id": "LEGISCTA000036892971", "@fin": "2999-01-01", "#text": "Section 1 : Obligations en matière de gouvernance des instruments financiers applicables aux producteurs", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025780200", "@fin": "2018-01-03", "#text": "Chapitre III : Règles d'organisation", "@debut": "2007-11-01" }, { "@id": "LEGISCTA000036892985", "@fin": "2999-01-01", "#text": "Chapitre III : Exigences en matière de gouvernance des instruments financiers", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025363847", "@fin": "2007-11-01", "#text": "TITRE IER : Services", "@debut": "2004-11-25" }, { "@id": "LEGISCTA000025742926", "@fin": "2999-01-01", "#text": "TITRE IER : Prestataires de services d'investissement", "@debut": "2007-11-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025363846", "@fin": "2999-01-01", "#text": "LIVRE III : Prestataires", "@debut": "2004-11-25" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025347548", "@fin": "2999-01-01", "#text": "REGLEMENT GENERAL DE L'AUTORITE DES MARCHES FINANCIERS (RGAMF)", "@debut": "2004-11-25" } ] }, "@cid": "JORFTEXT000000606599", "@nor": "ECOT0420062A", "@nature": "ARRETE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Arrêté du 12 novembre 2004 portant homologation des livres II à VI du règlement général de l'Autorité des marchés financiers", "@debut": "2999-01-01", "@id_txt": "JORFTEXT000000606599", "@c_titre_court": "Arrêté du 12 novembre 2004" }, { "@fin": "2999-01-01", "#text": "Arrêté du 12 novembre 2004 portant homologation des livres II à VI du règlement général de l'Autorité des marchés financiers (RGAMF)", "@debut": "2004-11-25", "@id_txt": "LEGITEXT000022441606", "@c_titre_court": "Arrêté du 12 novembre 2004" } ], "@ministere": "MINISTERE DE L'ECONOMIE, DES FINANCES ET DE L'INDUSTRIE", "@date_publi": "2004-11-24", "@date_signature": "2004-11-12", "@num_parution_jo": "0273" } }, "VERSIONS": { "VERSION": [ { "@etat": "ABROGE", "LIEN_ART": { "@id": "LEGIARTI000035172504", "@fin": "2018-01-03", "@num": "313-13-1", "@etat": "ABROGE", "@debut": "2018-01-03", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

Le prestataire de services d'investissement autre qu'une société de gestion de portefeuille veille à ce que le commissaire aux comptes fasse un rapport au moins tous les ans à l'AMF sur l'adéquation des dispositions prises par le prestataire de services d'investissement, en application des 7° et 9° du II de l'article L. 533-10 du code monétaire et financieret de la présente sous-section.

" } }, "LEGIARTI000035210767": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "313-17-6", "ETAT": "ABROGE", "TYPE": "AUTONOME", "DATE_FIN": "2018-01-03", "DATE_DEBUT": "2018-01-03" } }, "META_COMMUN": { "ID": "LEGIARTI000035210767", "URL": "article/LEGI/ARTI/00/00/35/21/07/LEGIARTI000035210767.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "LEGIARTI000035171880", "#text": "Arrêté du 3 juillet 2017 - art.", "@sens": "cible", "@cidtexte": "JORFTEXT000035168547", "@nortexte": "ECOT1719088A", "@typelien": "CREE", "@naturetexte": "ARRETE", "@datesignatexte": "2017-07-03" }, { "@id": "LEGIARTI000036830462", "#text": "Arrêté du 20 décembre 2017 - art.", "@sens": "cible", "@cidtexte": "JORFTEXT000036249833", "@nortexte": "ECOT1735827A", "@typelien": "ABROGE", "@naturetexte": "ARRETE", "@datesignatexte": "2017-12-20" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000025786006", "@fin": "2018-01-03", "#text": "Sous-section 5 : Protection des avoirs des clients", "@debut": "2007-11-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025780215", "@fin": "2018-01-03", "#text": "Section 1 : Règles d'organisation applicables \r\nà l'ensemble des prestataires de services d'investissement", "@debut": "2007-11-01" }, { "@id": "LEGISCTA000036892971", "@fin": "2999-01-01", "#text": "Section 1 : Obligations en matière de gouvernance des instruments financiers applicables aux producteurs", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025780200", "@fin": "2018-01-03", "#text": "Chapitre III : Règles d'organisation", "@debut": "2007-11-01" }, { "@id": "LEGISCTA000036892985", "@fin": "2999-01-01", "#text": "Chapitre III : Exigences en matière de gouvernance des instruments financiers", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025363847", "@fin": "2007-11-01", "#text": "TITRE IER : Services", "@debut": "2004-11-25" }, { "@id": "LEGISCTA000025742926", "@fin": "2999-01-01", "#text": "TITRE IER : Prestataires de services d'investissement", "@debut": "2007-11-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025363846", "@fin": "2999-01-01", "#text": "LIVRE III : Prestataires", "@debut": "2004-11-25" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025347548", "@fin": "2999-01-01", "#text": "REGLEMENT GENERAL DE L'AUTORITE DES MARCHES FINANCIERS (RGAMF)", "@debut": "2004-11-25" } ] }, "@cid": "JORFTEXT000000606599", "@nor": "ECOT0420062A", "@nature": "ARRETE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Arrêté du 12 novembre 2004 portant homologation des livres II à VI du règlement général de l'Autorité des marchés financiers", "@debut": "2999-01-01", "@id_txt": "JORFTEXT000000606599", "@c_titre_court": "Arrêté du 12 novembre 2004" }, { "@fin": "2999-01-01", "#text": "Arrêté du 12 novembre 2004 portant homologation des livres II à VI du règlement général de l'Autorité des marchés financiers (RGAMF)", "@debut": "2004-11-25", "@id_txt": "LEGITEXT000022441606", "@c_titre_court": "Arrêté du 12 novembre 2004" } ], "@ministere": "MINISTERE DE L'ECONOMIE, DES FINANCES ET DE L'INDUSTRIE", "@date_publi": "2004-11-24", "@date_signature": "2004-11-12", "@num_parution_jo": "0273" } }, "VERSIONS": { "VERSION": [ { "@etat": "ABROGE", "LIEN_ART": { "@id": "LEGIARTI000035210767", "@fin": "2018-01-03", "@num": "313-17-6", "@etat": "ABROGE", "@debut": "2018-01-03", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

Le prestataire de services d'investissement autre qu'une société de gestion de portefeuille ne conclut pas de contrats interdits mentionnés au 9° du II de l'article L. 533-10 du code monétaire et financier.

" } }, "LEGIARTI000036861936": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "312-17", "ETAT": "VIGUEUR", "TYPE": "AUTONOME", "DATE_FIN": "2999-01-01", "DATE_DEBUT": "2018-01-03" } }, "META_COMMUN": { "ID": "LEGIARTI000036861936", "URL": "article/LEGI/ARTI/00/00/36/86/19/LEGIARTI000036861936.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "LEGIARTI000036830462", "#text": "Arrêté du 20 décembre 2017 - art.", "@sens": "cible", "@cidtexte": "JORFTEXT000036249833", "@nortexte": "ECOT1735827A", "@typelien": "CREE", "@naturetexte": "ARRETE", "@datesignatexte": "2017-12-20" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000025917309", "@fin": "2018-01-03", "#text": "Section 3 : Conditions de prise ou d'extension de participation dans le capital d'une société de gestion de portefeuille", "@debut": "2010-01-01" }, { "@id": "LEGISCTA000036892740", "@fin": "2999-01-01", "#text": "Section 3 : Protection des avoirs des clients", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025363854", "@fin": "2007-11-01", "#text": "Chapitre II : Définitions", "@debut": "2004-11-25" }, { "@id": "LEGISCTA000025743099", "@fin": "2010-01-01", "#text": "Chapitre II : Conditions d'agrément des sociétés de gestion de portefeuille", "@debut": "2007-11-01" }, { "@id": "LEGISCTA000025917305", "@fin": "2018-01-03", "#text": "Chapitre II : Conditions d'agrément des sociétés de gestion de portefeuille et de prise ou d'extension de participation dans le capital d'une société de gestion de portefeuille", "@debut": "2010-01-01" }, { "@id": "LEGISCTA000036892766", "@fin": "2999-01-01", "#text": "Chapitre II : Règles d'organisation", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025363847", "@fin": "2007-11-01", "#text": "TITRE IER : Services", "@debut": "2004-11-25" }, { "@id": "LEGISCTA000025742926", "@fin": "2999-01-01", "#text": "TITRE IER : Prestataires de services d'investissement", "@debut": "2007-11-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025363846", "@fin": "2999-01-01", "#text": "LIVRE III : Prestataires", "@debut": "2004-11-25" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025347548", "@fin": "2999-01-01", "#text": "REGLEMENT GENERAL DE L'AUTORITE DES MARCHES FINANCIERS (RGAMF)", "@debut": "2004-11-25" } ] }, "@cid": "JORFTEXT000000606599", "@nor": "ECOT0420062A", "@nature": "ARRETE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Arrêté du 12 novembre 2004 portant homologation des livres II à VI du règlement général de l'Autorité des marchés financiers", "@debut": "2999-01-01", "@id_txt": "JORFTEXT000000606599", "@c_titre_court": "Arrêté du 12 novembre 2004" }, { "@fin": "2999-01-01", "#text": "Arrêté du 12 novembre 2004 portant homologation des livres II à VI du règlement général de l'Autorité des marchés financiers (RGAMF)", "@debut": "2004-11-25", "@id_txt": "LEGITEXT000022441606", "@c_titre_court": "Arrêté du 12 novembre 2004" } ], "@ministere": "MINISTERE DE L'ECONOMIE, DES FINANCES ET DE L'INDUSTRIE", "@date_publi": "2004-11-24", "@date_signature": "2004-11-12", "@num_parution_jo": "0273" } }, "VERSIONS": { "VERSION": [ { "@etat": "VIGUEUR", "LIEN_ART": { "@id": "LEGIARTI000036861936", "@fin": "2999-01-01", "@num": "312-17", "@etat": "VIGUEUR", "@debut": "2018-01-03", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

Le prestataire de services d'investissement ne conclut pas de contrats interdits mentionnés au 9° du II de l'article L. 533-10 du code monétaire et financier.

" } }, "LEGIARTI000036862037": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "312-39", "ETAT": "VIGUEUR", "TYPE": "AUTONOME", "DATE_FIN": "2999-01-01", "DATE_DEBUT": "2018-01-03" } }, "META_COMMUN": { "ID": "LEGIARTI000036862037", "URL": "article/LEGI/ARTI/00/00/36/86/20/LEGIARTI000036862037.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "LEGIARTI000036830462", "#text": "Arrêté du 20 décembre 2017 - art.", "@sens": "cible", "@cidtexte": "JORFTEXT000036249833", "@nortexte": "ECOT1735827A", "@typelien": "CREE", "@naturetexte": "ARRETE", "@datesignatexte": "2017-12-20" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000036862035", "@fin": "2999-01-01", "#text": "Section 5 : Enregistrements et conservation des données", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025363854", "@fin": "2007-11-01", "#text": "Chapitre II : Définitions", "@debut": "2004-11-25" }, { "@id": "LEGISCTA000025743099", "@fin": "2010-01-01", "#text": "Chapitre II : Conditions d'agrément des sociétés de gestion de portefeuille", "@debut": "2007-11-01" }, { "@id": "LEGISCTA000025917305", "@fin": "2018-01-03", "#text": "Chapitre II : Conditions d'agrément des sociétés de gestion de portefeuille et de prise ou d'extension de participation dans le capital d'une société de gestion de portefeuille", "@debut": "2010-01-01" }, { "@id": "LEGISCTA000036892766", "@fin": "2999-01-01", "#text": "Chapitre II : Règles d'organisation", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025363847", "@fin": "2007-11-01", "#text": "TITRE IER : Services", "@debut": "2004-11-25" }, { "@id": "LEGISCTA000025742926", "@fin": "2999-01-01", "#text": "TITRE IER : Prestataires de services d'investissement", "@debut": "2007-11-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025363846", "@fin": "2999-01-01", "#text": "LIVRE III : Prestataires", "@debut": "2004-11-25" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025347548", "@fin": "2999-01-01", "#text": "REGLEMENT GENERAL DE L'AUTORITE DES MARCHES FINANCIERS (RGAMF)", "@debut": "2004-11-25" } ] }, "@cid": "JORFTEXT000000606599", "@nor": "ECOT0420062A", "@nature": "ARRETE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Arrêté du 12 novembre 2004 portant homologation des livres II à VI du règlement général de l'Autorité des marchés financiers", "@debut": "2999-01-01", "@id_txt": "JORFTEXT000000606599", "@c_titre_court": "Arrêté du 12 novembre 2004" }, { "@fin": "2999-01-01", "#text": "Arrêté du 12 novembre 2004 portant homologation des livres II à VI du règlement général de l'Autorité des marchés financiers (RGAMF)", "@debut": "2004-11-25", "@id_txt": "LEGITEXT000022441606", "@c_titre_court": "Arrêté du 12 novembre 2004" } ], "@ministere": "MINISTERE DE L'ECONOMIE, DES FINANCES ET DE L'INDUSTRIE", "@date_publi": "2004-11-24", "@date_signature": "2004-11-12", "@num_parution_jo": "0273" } }, "VERSIONS": { "VERSION": [ { "@etat": "VIGUEUR", "LIEN_ART": { "@id": "LEGIARTI000036862037", "@fin": "2999-01-01", "@num": "312-39", "@etat": "VIGUEUR", "@debut": "2018-01-03", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

\n
\n

L'AMF peut, dans des circonstances exceptionnelles, exiger du prestataire de services d'investissement qu'il conserve tout ou partie de ces enregistrements sur une période de sept ans prévue au III de l’article L. 533-10 du code monétaire et financier, dans la limite justifiée par la nature de l'instrument ou de la transaction, si cela lui est indispensable pour exercer ses fonctions de contrôle.

" } }, "LEGIARTI000036892733": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "312-7", "ETAT": "VIGUEUR", "TYPE": "AUTONOME", "DATE_FIN": "2999-01-01", "DATE_DEBUT": "2018-01-03" } }, "META_COMMUN": { "ID": "LEGIARTI000036892733", "URL": "article/LEGI/ARTI/00/00/36/89/27/LEGIARTI000036892733.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "LEGIARTI000036830462", "#text": "Arrêté du 20 décembre 2017 - art.", "@sens": "cible", "@cidtexte": "JORFTEXT000036249833", "@nortexte": "ECOT1735827A", "@typelien": "MODIFIE", "@naturetexte": "ARRETE", "@datesignatexte": "2017-12-20" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000025917309", "@fin": "2018-01-03", "#text": "Section 3 : Conditions de prise ou d'extension de participation dans le capital d'une société de gestion de portefeuille", "@debut": "2010-01-01" }, { "@id": "LEGISCTA000036892740", "@fin": "2999-01-01", "#text": "Section 3 : Protection des avoirs des clients", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025363854", "@fin": "2007-11-01", "#text": "Chapitre II : Définitions", "@debut": "2004-11-25" }, { "@id": "LEGISCTA000025743099", "@fin": "2010-01-01", "#text": "Chapitre II : Conditions d'agrément des sociétés de gestion de portefeuille", "@debut": "2007-11-01" }, { "@id": "LEGISCTA000025917305", "@fin": "2018-01-03", "#text": "Chapitre II : Conditions d'agrément des sociétés de gestion de portefeuille et de prise ou d'extension de participation dans le capital d'une société de gestion de portefeuille", "@debut": "2010-01-01" }, { "@id": "LEGISCTA000036892766", "@fin": "2999-01-01", "#text": "Chapitre II : Règles d'organisation", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025363847", "@fin": "2007-11-01", "#text": "TITRE IER : Services", "@debut": "2004-11-25" }, { "@id": "LEGISCTA000025742926", "@fin": "2999-01-01", "#text": "TITRE IER : Prestataires de services d'investissement", "@debut": "2007-11-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025363846", "@fin": "2999-01-01", "#text": "LIVRE III : Prestataires", "@debut": "2004-11-25" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025347548", "@fin": "2999-01-01", "#text": "REGLEMENT GENERAL DE L'AUTORITE DES MARCHES FINANCIERS (RGAMF)", "@debut": "2004-11-25" } ] }, "@cid": "JORFTEXT000000606599", "@nor": "ECOT0420062A", "@nature": "ARRETE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Arrêté du 12 novembre 2004 portant homologation des livres II à VI du règlement général de l'Autorité des marchés financiers", "@debut": "2999-01-01", "@id_txt": "JORFTEXT000000606599", "@c_titre_court": "Arrêté du 12 novembre 2004" }, { "@fin": "2999-01-01", "#text": "Arrêté du 12 novembre 2004 portant homologation des livres II à VI du règlement général de l'Autorité des marchés financiers (RGAMF)", "@debut": "2004-11-25", "@id_txt": "LEGITEXT000022441606", "@c_titre_court": "Arrêté du 12 novembre 2004" } ], "@ministere": "MINISTERE DE L'ECONOMIE, DES FINANCES ET DE L'INDUSTRIE", "@date_publi": "2004-11-24", "@date_signature": "2004-11-12", "@num_parution_jo": "0273" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000025364135", "@fin": "2007-11-01", "@num": "312-7", "@etat": "MODIFIE", "@debut": "2004-11-25", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000025894708", "@fin": "2011-03-03", "@num": "312-7", "@etat": "MODIFIE", "@debut": "2007-11-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000025919213", "@fin": "2011-10-21", "@num": "312-7", "@etat": "MODIFIE", "@debut": "2011-03-03", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000025920271", "@fin": "2012-10-26", "@num": "312-7", "@etat": "MODIFIE", "@debut": "2011-10-21", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000026536047", "@fin": "2013-12-21", "@num": "312-7", "@etat": "MODIFIE", "@debut": "2012-10-26", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000028421669", "@fin": "2018-01-03", "@num": "312-7", "@etat": "MODIFIE", "@debut": "2013-12-21", "@origine": "LEGI" } }, { "@etat": "VIGUEUR", "LIEN_ART": { "@id": "LEGIARTI000036892733", "@fin": "2999-01-01", "@num": "312-7", "@etat": "VIGUEUR", "@debut": "2018-01-03", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

Le prestataire de services d'investissement veille à ce que le commissaire aux comptes fasse un rapport au moins tous les ans à l'AMF sur l'adéquation des dispositions prises par le prestataire de services d'investissement, en application des 7° et 9° du II de l'article L. 533-10 du code monétaire et financier et de la présente section.

" } }, "LEGIARTI000036893048": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "313-23", "ETAT": "VIGUEUR", "TYPE": "AUTONOME", "DATE_FIN": "2999-01-01", "DATE_DEBUT": "2018-01-03" } }, "META_COMMUN": { "ID": "LEGIARTI000036893048", "URL": "article/LEGI/ARTI/00/00/36/89/30/LEGIARTI000036893048.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "LEGIARTI000036830462", "#text": "Arrêté du 20 décembre 2017 - art.", "@sens": "cible", "@cidtexte": "JORFTEXT000036249833", "@nortexte": "ECOT1735827A", "@typelien": "MODIFIE", "@naturetexte": "ARRETE", "@datesignatexte": "2017-12-20" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000025792884", "@fin": "2018-01-03", "#text": "Section 2 : Règles d'organisation additionnelles \r\napplicables aux sociétés de gestion de portefeuille", "@debut": "2007-11-01" }, { "@id": "LEGISCTA000036892911", "@fin": "2999-01-01", "#text": "Section 2 : Obligations en matière de gouvernance des instruments financiers applicables aux distributeurs", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025780200", "@fin": "2018-01-03", "#text": "Chapitre III : Règles d'organisation", "@debut": "2007-11-01" }, { "@id": "LEGISCTA000036892985", "@fin": "2999-01-01", "#text": "Chapitre III : Exigences en matière de gouvernance des instruments financiers", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025363847", "@fin": "2007-11-01", "#text": "TITRE IER : Services", "@debut": "2004-11-25" }, { "@id": "LEGISCTA000025742926", "@fin": "2999-01-01", "#text": "TITRE IER : Prestataires de services d'investissement", "@debut": "2007-11-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025363846", "@fin": "2999-01-01", "#text": "LIVRE III : Prestataires", "@debut": "2004-11-25" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025347548", "@fin": "2999-01-01", "#text": "REGLEMENT GENERAL DE L'AUTORITE DES MARCHES FINANCIERS (RGAMF)", "@debut": "2004-11-25" } ] }, "@cid": "JORFTEXT000000606599", "@nor": "ECOT0420062A", "@nature": "ARRETE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Arrêté du 12 novembre 2004 portant homologation des livres II à VI du règlement général de l'Autorité des marchés financiers", "@debut": "2999-01-01", "@id_txt": "JORFTEXT000000606599", "@c_titre_court": "Arrêté du 12 novembre 2004" }, { "@fin": "2999-01-01", "#text": "Arrêté du 12 novembre 2004 portant homologation des livres II à VI du règlement général de l'Autorité des marchés financiers (RGAMF)", "@debut": "2004-11-25", "@id_txt": "LEGITEXT000022441606", "@c_titre_court": "Arrêté du 12 novembre 2004" } ], "@ministere": "MINISTERE DE L'ECONOMIE, DES FINANCES ET DE L'INDUSTRIE", "@date_publi": "2004-11-24", "@date_signature": "2004-11-12", "@num_parution_jo": "0273" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000025786109", "@fin": "2011-10-21", "@num": "313-23", "@etat": "MODIFIE", "@debut": "2007-11-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000025920591", "@fin": "2013-12-21", "@num": "313-23", "@etat": "MODIFIE", "@debut": "2011-10-21", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000028421623", "@fin": "2018-01-03", "@num": "313-23", "@etat": "MODIFIE", "@debut": "2013-12-21", "@origine": "LEGI" } }, { "@etat": "VIGUEUR", "LIEN_ART": { "@id": "LEGIARTI000036893048", "@fin": "2999-01-01", "@num": "313-23", "@etat": "VIGUEUR", "@debut": "2018-01-03", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

Le distributeur veille à ce que sa fonction de conformité vérifie les conditions et modalités d'élaboration et de réexamen périodique de son dispositif de gouvernance des instruments financiers afin d'identifier tout risque de manquement aux obligations de la présente section.

" } }, "LEGIARTI000036894047": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "317-7", "ETAT": "VIGUEUR", "TYPE": "AUTONOME", "DATE_FIN": "2999-01-01", "DATE_DEBUT": "2018-01-03" } }, "META_COMMUN": { "ID": "LEGIARTI000036894047", "URL": "article/LEGI/ARTI/00/00/36/89/40/LEGIARTI000036894047.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "LEGIARTI000036830462", "#text": "Arrêté du 20 décembre 2017 - art.", "@sens": "cible", "@cidtexte": "JORFTEXT000036249833", "@nortexte": "ECOT1735827A", "@typelien": "MODIFIE", "@naturetexte": "ARRETE", "@datesignatexte": "2017-12-20" }, { "@id": "LEGIARTI000027764234", "@num": "L214-24-19", "#text": "Code monétaire et financier - art. L214-24-19", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657244", "@num": "L532-3", "#text": "Code monétaire et financier - art. L532-3", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000027764709", "@num": "L533-22-2", "#text": "Code monétaire et financier - art. L533-22-2", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000027836324", "@fin": "2999-01-01", "#text": "Section 2 : Contenu du programme d'activité", "@debut": "2013-08-14" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000027836318", "@fin": "2999-01-01", "#text": "Chapitre II : Conditions d'agrément des sociétés de gestion de portefeuille de FIA et de prise ou d'extension de participation dans le capital d'une société de gestion de portefeuille de FIA", "@debut": "2013-08-14" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000027835807", "@fin": "2999-01-01", "#text": "TITRE Ier BIS : Sociétés de gestion de portefeuille de FIA", "@debut": "2013-08-14" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025363846", "@fin": "2999-01-01", "#text": "LIVRE III : Prestataires", "@debut": "2004-11-25" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000025347548", "@fin": "2999-01-01", "#text": "REGLEMENT GENERAL DE L'AUTORITE DES MARCHES FINANCIERS (RGAMF)", "@debut": "2004-11-25" } ] }, "@cid": "JORFTEXT000000606599", "@nor": "ECOT0420062A", "@nature": "ARRETE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Arrêté du 12 novembre 2004 portant homologation des livres II à VI du règlement général de l'Autorité des marchés financiers", "@debut": "2999-01-01", "@id_txt": "JORFTEXT000000606599", "@c_titre_court": "Arrêté du 12 novembre 2004" }, { "@fin": "2999-01-01", "#text": "Arrêté du 12 novembre 2004 portant homologation des livres II à VI du règlement général de l'Autorité des marchés financiers (RGAMF)", "@debut": "2004-11-25", "@id_txt": "LEGITEXT000022441606", "@c_titre_court": "Arrêté du 12 novembre 2004" } ], "@ministere": "MINISTERE DE L'ECONOMIE, DES FINANCES ET DE L'INDUSTRIE", "@date_publi": "2004-11-24", "@date_signature": "2004-11-12", "@num_parution_jo": "0273" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000027836345", "@fin": "2013-12-21", "@num": "317-7", "@etat": "MODIFIE", "@debut": "2013-08-14", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000028421888", "@fin": "2018-01-03", "@num": "317-7", "@etat": "MODIFIE", "@debut": "2013-12-21", "@origine": "LEGI" } }, { "@etat": "VIGUEUR", "LIEN_ART": { "@id": "LEGIARTI000036894047", "@fin": "2999-01-01", "@num": "317-7", "@etat": "VIGUEUR", "@debut": "2018-01-03", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

La société de gestion de portefeuille dispose d'un programme d'activité conforme au chapitre III.

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\n

1° des informations sur les stratégies d'investissement, y compris les types de fonds sous-jacents si le FIA est un fonds de fonds, la politique de la société de gestion de portefeuille en ce qui concerne l'utilisation de l'effet de levier et sur les profils de risque et autres caractéristiques des FIA qu'elle gère ou prévoit de gérer, y compris des informations sur les États membres de l'Union européenne ou sur les pays tiers dans lesquels ces FIA sont établis ou dans lesquels il est prévu qu'ils soient établis ;

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2° des informations sur le lieu où le FIA maître est établi si le FIA est un FIA nourricier ;

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3° le règlement ou les statuts de chaque FIA que la société de gestion de portefeuille prévoit de gérer ;

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4° les informations sur les modalités prévues pour la désignation du dépositaire pour chaque FIA concerné ;

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5° pour chaque FIA que la société de gestion de portefeuille gère ou prévoit de gérer, toute information supplémentaire mise à la disposition des investisseurs en application du troisième alinéa de l'article L. 214-24-19 du code monétaire et financier.

" } }, "LEGIARTI000038611493": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L532-50", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2021-06-26", "DATE_DEBUT": "2019-05-24" } }, "META_COMMUN": { "ID": "LEGIARTI000038611493", "URL": "article/LEGI/ARTI/00/00/38/61/14/LEGIARTI000038611493.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "LEGIARTI000038497832", "@num": "77", "#text": "LOI n°2019-486 du 22 mai 2019 - art. 77 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000038496102", "@nortexte": "ECOT1810669L", "@numtexte": "2019-486", "@typelien": "MODIFIE", "@naturetexte": "LOI", "@datesignatexte": "2019-05-22" }, { "@id": "LEGIARTI000020087630", "@num": "L211-36", "#text": "Code monétaire et financier - art. L211-36 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006647574", "@num": "L213-3", "#text": "Code monétaire et financier - art. L213-3 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006652197", "@num": "L330-1", "#text": "Code monétaire et financier - art. L330-1 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006652203", "@num": "L341-1", "#text": "Code monétaire et financier - art. L341-1 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032754438", "@num": "L420-1", "#text": "Code monétaire et financier - art. L420-1 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006652362", "@num": "L421-10", "#text": "Code monétaire et financier - art. L421-10 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006652490", "@num": "L424-1", "#text": "Code monétaire et financier - art. L424-1 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006652744", "@num": "L425-1", "#text": "Code monétaire et financier - art. L425-1 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006653862", "@num": "L440-2", "#text": "Code monétaire et financier - art. L440-2 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006653927", "@num": "L440-6", "#text": "Code monétaire et financier - art. L440-6 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006654290", "@num": "L500-1", "#text": "Code monétaire et financier - art. L500-1 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006654634", "@num": "L511-35", "#text": "Code monétaire et financier - art. L511-35 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006654656", "@num": "L511-37", "#text": "Code monétaire et financier - art. L511-37 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006654674", "@num": "L511-38", "#text": "Code monétaire et financier - art. L511-38 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006654686", "@num": "L511-39", "#text": "Code monétaire et financier - art. L511-39 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006654713", "@num": "L511-41", "#text": "Code monétaire et financier - art. 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I.-L'Autorité de contrôle prudentiel et de résolution ne délivre l'agrément à la succursale de l'entreprise de pays tiers pétitionnaire que si l'entreprise de pays tiers dont dépend la succursale s'engage à exercer à l'égard de cette succursale des missions équivalentes à celles qui sont confiées par les articles L. 533-29 à L. 533-31 au conseil d'administration, au conseil de surveillance ou à tout autre organe exerçant des fonctions de surveillance équivalentes, ainsi qu'à l'assemblée générale et après s'être assurée que :

1° Les conditions prévues au II de l'article L. 532-48 sont remplies ;

2° La succursale est en mesure de se conformer aux dispositions du II du présent article.

L'Autorité de contrôle prudentiel et de résolution ne peut agréer la succursale que dans la limite des services que l'entreprise de pays tiers dont elle dépend est autorisée à fournir.

II.-Les articles L. 420-1 à L. 420-18, L. 421-10, L. 424-1 à L. 424-8, L. 425-1 à L. 425-8, L. 533-2, L. 533-9, L. 533-10, L. 533-10-1, L. 533-10-3 à L. 533-10-8, L. 533-11 à L. 533-16, L. 533-18 à L. 533-20, L. 533-22-3, L. 533-24, L. 533-24-1 et L. 533-25 à L. 533-31 du présent code, ainsi que les articles 3 à 26 du règlement (UE) n° 600/2014 du Parlement européen et du Conseil du 15 mai 2014 concernant les marchés d'instruments financiers et modifiant le règlement (UE) n° 648/2012, s'appliquent aux succursales agréées conformément au I du présent article.

III.-Les articles L. 511-41-3 à L. 511-41-5 et L. 533-2-2 à L. 533-3 s'appliquent aux succursales agréées conformément au I du présent article.

L'article L. 511-41, le V de l'article L. 613-62 et l'article L. 613-62-1 s'appliquent aux succursales agréées conformément au I du présent article dans les conditions prévues pour les succursales d'établissement de crédit agréées conformément à l'article L. 532-48.

IV.-Les articles L. 211-36 à L. 211-40, L. 213-3, L. 341-1 à L. 341-7, L. 440-6 à L. 440-10, L. 500-1, L. 511-37, L. 511-38, L. 531-8, L. 531-12, L. 533-5, \nL. 533-23, L. 542-1, L. 561-2, L. 561-10-3, L. 561-32, L. 561-36-1, L. 573-1-1 et L. 573-2-1 à L. 573-6 s'appliquent aux succursales agréées conformément au I du présent article.

Le 1° du II de l'article L. 330-1, le 1 de l'article L. 440-2 ainsi que les articles L. 511-35 et L. 511-39 s'appliquent aux succursales agréées conformément au I du présent article dans les conditions prévues pour les succursales d'établissement de crédit agréées conformément à l'article L. 532-48.

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R532-17 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000035043021", "@fin": "2999-01-01", "#text": "Paragraphe 3 : Sociétés de gestion de FIA européennes", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006184914", "@fin": "2018-01-03", "#text": "Sous-section 2 : Libre prestation de services et liberté d'établissement en France", "@debut": "2001-01-01" }, { "@id": "LEGISCTA000035042856", "@fin": "2999-01-01", "#text": "Sous-section 2 : Libre établissement et libre prestation de services en France (Passeport entrant)", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006170642", "@fin": "2018-01-03", "#text": "Section 2 : Libre établissement et libre prestation de services sur le territoire des Etats parties à l'accord sur l'Espace économique européen", "@debut": "2001-01-01" }, { "@id": "LEGISCTA000032786469", "@fin": "2017-06-28", "#text": "Section 2 : Libre établissement et libre prestation de services sur le territoire des Etats membres de l'Union européenne ou parties à l'accord sur l'Espace économique européen", "@debut": "2018-01-03" }, { "@id": "LEGISCTA000035042858", "@fin": "2999-01-01", "#text": "Section 2 : Libre établissement et libre prestation de services sur le territoire des Etats membres de l'Union européenne ou parties à l'accord sur l'Espace économique européen (Passeports)", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006154696", "@fin": "2999-01-01", "#text": "Chapitre II : Conditions d'exercice de la profession", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006140119", "@fin": "2999-01-01", "#text": "Titre III : Les prestataires de services d'investissement", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006123943", "@fin": "2999-01-01", "#text": "Livre V : Les prestataires de services", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006101336", "@fin": "2999-01-01", "#text": "Partie législative", "@debut": "2001-01-01" } ] }, "@cid": "LEGITEXT000006072026", "@nature": "CODE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Code monétaire et financier", "@debut": "2001-01-01", "@id_txt": "LEGITEXT000006072026", "@c_titre_court": "Code monétaire et financier" } ], "@date_publi": "2999-01-01", "@date_signature": "2999-01-01" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000027764173", "@fin": "2018-01-03", "@num": "L532-21-3", "@etat": "MODIFIE", "@debut": "2013-07-28", "@origine": "LEGI" } }, { "@etat": "MODIFIE_MORT_NE", "LIEN_ART": { "@id": "LEGIARTI000032786370", "@fin": "2017-06-28", "@num": "L532-21-3", "@etat": "MODIFIE_MORT_NE", "@debut": "2018-01-03", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000035043006", "@fin": "2019-05-24", "@num": "L532-21-3", "@etat": "MODIFIE", "@debut": "2018-01-03", "@origine": "LEGI" } }, { "@etat": "VIGUEUR", "LIEN_ART": { "@id": "LEGIARTI000038613966", "@fin": "2999-01-01", "@num": "L532-21-3", "@etat": "VIGUEUR", "@debut": "2019-05-24", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

II.-L'Autorité des marchés financiers surveille le respect par les sociétés de gestion mentionnées au I des dispositions de l'article du premier alinéa de l'article L. 533-22-2-1 et du 3° du I de l'article L. 533-10 lorsque ces sociétés de gestion gèrent un FIA ou en commercialise les parts ou actions en libre établissement.

Lorsque l'activité de la société de gestion sur ces territoires consiste à gérer des FIA, l'Autorité des marchés financiers peut exiger qu'elle mette un terme à la gestion de ces FIA.

Si, en dépit des mesures prises par l'autorité compétente de l'Etat d'origine ou en raison du caractère inadéquat de ces mesures ou en l'absence d'action dans un délai raisonnable de sa part, la société de gestion continue d'agir d'une manière clairement préjudiciable aux intérêts des porteurs ou actionnaires du FIA concerné, de la stabilité financière, ou de l'intégrité du marché français, l'Autorité des marchés financiers, après en avoir informé l'autorité compétente de l'Etat d'origine de la société de gestion, prend les mesures nécessaires pour protéger les porteurs de parts ou actionnaires du FIA concerné, la stabilité financière et l'intégrité du marché français, y compris l'interdiction pour la société de gestion de continuer à commercialiser des parts ou actions du FIA concerné sur le territoire de la France métropolitaine, de la Guadeloupe, de la Guyane, de la Martinique, de La Réunion, de Mayotte et de Saint-Martin.

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Les entreprises établies en France et qui font partie d'un groupe financier ou d'un groupe comprenant au moins une société de financement ou, pour l'application du 2° du présent article, d'un groupe au sens de l'article L. 356-1 du code des assurances, d'un groupe au sens du III de l'article L. 511-20 comprenant au moins une entité mentionnée au 1° bis ou 1° ter de l'article L. 561-2, ou d'un groupe mixte ou d'un conglomérat financier auquel appartiennent des entités réglementées au sens de l'article L. 517-2 ayant leur siège social dans un Etat membre de l'Union européenne ou Etat partie à l'accord sur l'Espace économique européen ou dans un Etat où sont applicables les accords prévus aux articles L. 632-7, L. 632-13 et L. 632-16 du présent code sont tenues, nonobstant toutes dispositions contraires, de transmettre à des entreprises du même groupe ayant leur siège social dans l'un de ces Etats :

2° Les informations nécessaires à l'organisation de la lutte contre le blanchiment des capitaux et contre le financement du terrorisme ;

4° Les informations nécessaires à la gestion des conflits d'intérêts au sens du 3° du I et 3° du II de l'article L. 533-10.

Les dispositions du présent article ne font pas obstacle à l'application de la loi n° 78-17 du 6 janvier 1978 relative à l'informatique, aux fichiers et aux libertés.

\n
" } }, "LEGIARTI000042735683": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L612-33", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2021-06-26", "DATE_DEBUT": "2020-12-29" } }, "META_COMMUN": { "ID": "LEGIARTI000042735683", "URL": "article/LEGI/ARTI/00/00/42/73/56/LEGIARTI000042735683.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "NOTA": { "CONTENU": "

Conformément à l'article 6 de l'ordonnance n° 2020-1635 du 21 décembre 2020, ces dispositions sont applicables le 29 décembre 2020.

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Elle peut, à ce titre :

1° Placer la personne sous surveillance spéciale ;

2° Charger un ou plusieurs de ses agents d'exercer une mission de contrôle permanent au sein de la personne concernée afin d'y assurer un suivi rapproché de sa situation ;

3° Limiter ou interdire temporairement l'exercice de certaines opérations ou activités par cette personne, y compris l'acceptation de primes ou dépôts ;

4° Suspendre, restreindre ou interdire temporairement la libre disposition de tout ou partie des actifs de la personne contrôlée ;

5° Exiger de cette personne la cession d'activités ;

6° Limiter le nombre des agences ou des succursales de cette personne ;

8° Prononcer le transfert d'office de tout ou partie d'un portefeuille de crédits ou de dépôts d'un établissement de crédit ;

11° Exiger la réduction du risque inhérent aux activités, aux produits et aux systèmes des établissements de crédit, entreprises d'investissement et sociétés de financement, y compris aux activités externalisées ;

12° Suspendre un ou plusieurs dirigeants de la personne contrôlée ;

" } }, "LEGIARTI000042735910": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L755-11", "ETAT": "ABROGE", "TYPE": "AUTONOME", "DATE_FIN": "2022-02-26", "DATE_DEBUT": "2020-12-29" } }, "META_COMMUN": { "ID": "LEGIARTI000042735910", "URL": "article/LEGI/ARTI/00/00/42/73/59/LEGIARTI000042735910.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "NOTA": { "CONTENU": "

Conformément à l'article 6 de l'ordonnance n° 2020-1635 du 21 décembre 2020, ces dispositions sont applicables le 29 décembre 2020.

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L533-2-3 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657987", "@num": "L533-22", "#text": "Code monétaire et financier - art. L533-22 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000027764709", "@num": "L533-22-2", "#text": "Code monétaire et financier - art. L533-22-2 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006658025", "@num": "L533-24", "#text": "Code monétaire et financier - art. 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I. – Le chapitre III du titre III du livre V est applicable en Polynésie française sous réserve des adaptations prévues au II et à l'exception des troisième et quatrième alinéas de l'article L. 533-22-1.

Les articles L. 533-2, L. 533-3 à L. 533-5, L. 533-7, L. 533-11 à L. 533-12-6, L. 533-13 à L. 533-20, L. 533-22-1, L. 533-22-2-1 à L. 533-22-2-2, L. 533-26, L. 533-27, L. 533-29 à L. 533-31, L. 573-1 et L. 573-3 à L. 573-6 sont applicables dans leur rédaction résultant de l'ordonnance n° 2017-1107 du 22 juin 2017.

Les articles L. 533-2-2, L. 533-2-3, L. 533-25 et L. 533-27-1 sont applicables dans leur rédaction résultant de l'ordonnance n° 2020-1635 du 21 décembre 2020.

Les articles L. 533-9, L. 533-10, L. 533-10-2 à L. 533-10-8, L. 533-24, L. 533-24-1, L. 533-32 et L. 533-33 sont applicables dans leur rédaction résultant de l'ordonnance n° 2016-827 du 23 juin 2016 :

L'article L. 533-22, à l'exception de son II, ainsi que les articles L. 533-22-2 et L. 533-22-4 sont applicables dans leur rédaction résultant de la loi n° 2019-486 du 22 mai 2019 relative à la croissance et la transformation des entreprises.

II. – 1° Pour l'application du premier alinéa, les références au code de commerce sont remplacées par les références aux dispositions applicables localement ayant le même effet ;

1° bis Pour l'application du troisième alinéa de l'article L. 533-2-3, les mots : “ mentionnée à l'article 84 de la directive 2013/36/ UE du Parlement européen et du Conseil du 26 juin 2013 ” sont remplacés par les mots : “ définie par un arrêté du ministre chargé de l'économie. ”

2° Pour l'application de l'article L. 533-4 :

c) Le dernier alinéa est supprimé ;

– les opérations d'initiés, définies comme l'usage par une personne, pour son propre compte ou pour le compte de tiers, d'informations privilégiées non encore rendues publiques ;

– les manipulations de marchés, définies comme le fait d'effectuer une transaction visant à donner des informations trompeuses ou fausses ;

6° Pour l'application de l'article L. 533-18-2, les mots : “ par l'article 1er du règlement délégué ” sont remplacés par les mots : “ au sens de l'article 1er du règlement délégué ” ;

7° Pour l'application du IV de l'article L. 533-22-2, les mots : “, par dérogation à l'article L. 1331-2 du code du travail, ” sont supprimés.

III. – Les articles L. 573-1 à L. 573-7 s'y appliquent également.

" } }, "LEGIARTI000043707050": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L612-33", "ETAT": "VIGUEUR", "TYPE": "AUTONOME", "DATE_FIN": "2999-01-01", "DATE_DEBUT": "2021-06-26" } }, "META_COMMUN": { "ID": "LEGIARTI000043707050", "URL": "article/LEGI/ARTI/00/00/43/70/70/LEGIARTI000043707050.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "NOTA": { "CONTENU": "

Conformément à l’article 10 de l’ordonnance n° 2021-796 du 23 juin 2021, ces dispositions entrent en vigueur le 26 juin 2021.

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I. – Lorsque la solvabilité ou la liquidité d'une personne soumise au contrôle de l'Autorité ou lorsque les intérêts de ses clients, assurés, adhérents ou bénéficiaires, sont compromis ou susceptibles de l'être, ou lorsque les informations reçues ou demandées par l'Autorité pour l'exercice du contrôle sont de nature à établir que cette personne est susceptible de manquer dans un délai de douze mois aux obligations prévues par le règlement (UE) n° 575/2013 du Parlement européen et du Conseil du 26 juin 2013 ou, le cas échéant, par le règlement (UE) 2019/2033 du Parlement européen et du Conseil du 27 novembre 2019, par une disposition des titres Ier et III du livre V ou d'un règlement pris pour son application ou par toute autre disposition législative ou réglementaire dont la méconnaissance entraîne celle des dispositions précitées, l'Autorité de contrôle prudentiel et de résolution prend les mesures conservatoires nécessaires.

Elle peut, à ce titre :

1° Placer la personne sous surveillance spéciale ;

2° Charger un ou plusieurs de ses agents d'exercer une mission de contrôle permanent au sein de la personne concernée afin d'y assurer un suivi rapproché de sa situation ;

3° Limiter ou interdire temporairement l'exercice de certaines opérations ou activités par cette personne, y compris l'acceptation de primes ou dépôts ;

4° Suspendre, restreindre ou interdire temporairement la libre disposition de tout ou partie des actifs de la personne contrôlée ;

5° Exiger de cette personne la cession d'activités ;

6° Limiter le nombre des agences ou des succursales de cette personne ;

8° Prononcer le transfert d'office de tout ou partie d'un portefeuille de crédits ou de dépôts d'un établissement de crédit ;

12° Suspendre un ou plusieurs dirigeants de la personne contrôlée ;

15° Exiger des entreprises d'investissement de classe 2 et de classe 3 la réduction des risques menaçant la sécurité des réseaux et des systèmes d'information utilisés par les entreprises d'investissement en vue de garantir la confidentialité, l'intégrité et la disponibilité de leurs processus, de leurs données et de leurs actifs.

II. – Lorsque l'Autorité de contrôle prudentiel et de résolution estime que les mesures d'intervention précoce prises en application de l'article L. 511-41-5 ou de l'article L. 533-4-3 ne sont pas suffisantes soit pour mettre fin à de graves violations par un établissement de crédit, une entreprise d'investissement mentionnée au 2° du I de l'article L. 613-34 ou une société de financement mentionnée au II de l'article L. 613-34 de la réglementation qui lui est applicable ou des stipulations de ses statuts, soit pour rétablir sa situation financière, elle peut révoquer une ou plusieurs personnes mentionnées à l'article L. 511-13 ou au 4 de l'article L. 532-2, ou tout ou partie des membres du conseil d'administration, du conseil de surveillance ou de tout autre organe exerçant des fonctions de surveillance équivalentes.

" } }, "LEGIARTI000044504989": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L533-13", "ETAT": "VIGUEUR", "TYPE": "AUTONOME", "DATE_FIN": "2999-01-01", "DATE_DEBUT": "2022-02-28" } }, "META_COMMUN": { "ID": "LEGIARTI000044504989", "URL": "article/LEGI/ARTI/00/00/44/50/49/LEGIARTI000044504989.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "NOTA": { "CONTENU": "

Conformément à l'article 16 de l'ordonnance n° 2021-1652 du 15 décembre 2021, ces dispositions entrent en vigueur le 28 février 2022.

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art. 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L532-18 (M)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657621", "@num": "L532-23", "#text": "Code monétaire et financier - art. L532-23 (MMN)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032755051", "@num": "L533-12-1", "#text": "Code monétaire et financier - art. L533-12-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032786576", "@num": "L533-13-1", "#text": "Code monétaire et financier - art. L533-13-1 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006660847", "@num": "L622-20", "#text": "Code monétaire et financier - art. L622-20 (Ab)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000049461820", "@num": "L773-30", "#text": "Code monétaire et financier - art. 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L775-24 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000006184916", "@fin": "2018-01-03", "#text": "Sous-section 1 : Dispositions communes à tous les prestataires de services d'investissement", "@debut": "2007-11-01" }, { "@id": "LEGISCTA000035043107", "@fin": "2999-01-01", "#text": "Sous-section 1 : Dispositions communes aux prestataires de services d'investissement autres que les sociétés de gestion de portefeuille", "@debut": "2018-01-03" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006170648", "@fin": "2999-01-01", "#text": "Section 5 : Règles de bonne conduite", "@debut": "2007-11-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006154697", "@fin": "2999-01-01", "#text": "Chapitre III : Obligations des prestataires de services d'investissement", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006140119", "@fin": "2999-01-01", "#text": "Titre III : Les prestataires de services d'investissement", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006123943", "@fin": "2999-01-01", "#text": "Livre V : Les prestataires de services", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006101336", "@fin": "2999-01-01", "#text": "Partie législative", "@debut": "2001-01-01" } ] }, "@cid": "LEGITEXT000006072026", "@nature": "CODE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Code monétaire et financier", "@debut": "2001-01-01", "@id_txt": "LEGITEXT000006072026", "@c_titre_court": "Code monétaire et financier" } ], "@date_publi": "2999-01-01", "@date_signature": "2999-01-01" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006657871", "@fin": "2007-11-01", "@num": "L533-13", "@etat": "MODIFIE", "@debut": "2001-01-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006657872", "@fin": "2018-01-03", "@num": "L533-13", "@etat": "MODIFIE", "@debut": "2007-11-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE_MORT_NE", "LIEN_ART": { "@id": "LEGIARTI000032786587", "@fin": "2017-06-28", "@num": "L533-13", "@etat": "MODIFIE_MORT_NE", "@debut": "2018-01-03", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000035043324", "@fin": "2022-02-28", "@num": "L533-13", "@etat": "MODIFIE", "@debut": "2018-01-03", "@origine": "LEGI" } }, { "@etat": "VIGUEUR", "LIEN_ART": { "@id": "LEGIARTI000044504989", "@fin": "2999-01-01", "@num": "L533-13", "@etat": "VIGUEUR", "@debut": "2022-02-28", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

Lorsque la fourniture du service d'investissement mentionné au 5 de l'article L. 321-1 conduit à recommander une offre groupée au sens de l'article L. 533-12-1, les prestataires autres que les sociétés de gestion de portefeuille veillent à ce que l'offre groupée dans son ensemble soit adéquate.

I bis.-Lorsqu'ils fournissent les services mentionnés aux 4 ou 5 de l'article L. 321-1 qui impliquent un changement d'instruments financiers, les prestataires de services d'investissement, autres que les sociétés de gestion de portefeuille, obtiennent les informations nécessaires sur l'investissement du client et analysent les coûts et avantages du changement d'instruments financiers. Lorsqu'ils fournissent le service mentionné au 5 de l'article L. 321-1, ces mêmes prestataires indiquent au client si les avantages liés à un changement d'instruments financiers sont ou non supérieurs aux coûts liés à un tel changement.
\n
\n Ces obligations ne s'appliquent pas à la fourniture de services à des clients professionnels, sauf demande contraire de leur part présentée dans des conditions fixées par décret.
\n
\n Pour l'application de cet article, constitue un changement d'instruments financiers soit la vente d'un tel instrument suivie de l'achat d'un autre instrument, soit l'exercice du droit d'apporter un changement à un instrument financier existant.

Lorsqu'une offre groupée de services ou de produits au sens de l'article L. 533-12-1 est envisagée, l'évaluation porte sur le caractère approprié de l'offre groupée dans son ensemble.

1° Le service porte sur des instruments financiers non complexes définis par décret ;

2° Le service est fourni à l'initiative du client, notamment du client potentiel ;

4° Le prestataire s'est conformé au 3° des I ou II de l'article L. 533-10.

" } }, "LEGIARTI000044563953": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L532-50", "ETAT": "VIGUEUR", "TYPE": "AUTONOME", "DATE_FIN": "2999-01-01", "DATE_DEBUT": "2021-12-24" } }, "META_COMMUN": { "ID": "LEGIARTI000044563953", "URL": "article/LEGI/ARTI/00/00/44/56/39/LEGIARTI000044563953.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "NOTA": { "CONTENU": "

Se reporter aux conditions d'application prévues aux articles 38 et 39 de l’ordonnance n° 2021-1735 du 22 décembre 2021.

" }, "LIENS": { "LIEN": [ { "@id": "LEGIARTI000044550352", "@num": "16", "#text": "Ordonnance n°2021-1735 du 22 décembre 2021 - art. 16", "@sens": "cible", "@cidtexte": "JORFTEXT000044546257", "@nortexte": "ECOT2130795R", "@numtexte": "2021-1735", "@typelien": "MODIFIE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2021-12-22" }, { "@id": "LEGIARTI000020087630", "@num": "L211-36", "#text": "Code monétaire et financier - art. L211-36", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006647574", "@num": "L213-3", "#text": "Code monétaire et financier - art. L213-3", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006652197", "@num": "L330-1", "#text": "Code monétaire et financier - art. L330-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006652203", "@num": "L341-1", "#text": "Code monétaire et financier - art. L341-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032754438", "@num": "L420-1", "#text": "Code monétaire et financier - art. L420-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006652362", "@num": "L421-10", "#text": "Code monétaire et financier - art. L421-10", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006652490", "@num": "L424-1", "#text": "Code monétaire et financier - art. L424-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006652744", "@num": "L425-1", "#text": "Code monétaire et financier - art. L425-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006653862", "@num": "L440-2", "#text": "Code monétaire et financier - art. L440-2", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006653927", "@num": "L440-6", "#text": "Code monétaire et financier - art. L440-6", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006654290", "@num": "L500-1", "#text": "Code monétaire et financier - art. L500-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006654634", "@num": "L511-35", "#text": "Code monétaire et financier - art. L511-35", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006654656", "@num": "L511-37", "#text": "Code monétaire et financier - art. L511-37", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006654674", "@num": "L511-38", "#text": "Code monétaire et financier - art. L511-38", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006654686", "@num": "L511-39", "#text": "Code monétaire et financier - art. L511-39", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000019299931", "@num": "L531-12", "#text": "Code monétaire et financier - art. L531-12", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657147", "@num": "L531-8", "#text": "Code monétaire et financier - art. L531-8", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032757173", "@num": "L532-48", "#text": "Code monétaire et financier - art. L532-48", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657813", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000024420737", "@num": "L533-10-1", "#text": "Code monétaire et financier - art. L533-10-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032754948", "@num": "L533-10-3", "#text": "Code monétaire et financier - art. L533-10-3", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657822", "@num": "L533-11", "#text": "Code monétaire et financier - art. L533-11", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657939", "@num": "L533-18", "#text": "Code monétaire et financier - art. L533-18", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657713", "@num": "L533-2", "#text": "Code monétaire et financier - art. L533-2", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000028633751", "@num": "L533-2-2", "#text": "Code monétaire et financier - art. L533-2-2 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006658007", "@num": "L533-23", "#text": "Code monétaire et financier - art. L533-23", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006658025", "@num": "L533-24", "#text": "Code monétaire et financier - art. 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L533-4-3 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657759", "@num": "L533-5", "#text": "Code monétaire et financier - art. L533-5", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657801", "@num": "L533-9", "#text": "Code monétaire et financier - art. L533-9", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006658153", "@num": "L542-1", "#text": "Code monétaire et financier - art. L542-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000020180188", "@num": "L561-10-3", "#text": "Code monétaire et financier - art. L561-10-3", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000044564139", "@num": "L561-2", "#text": "Code monétaire et financier - art. L561-2 (M)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000020191252", "@num": "L561-32", "#text": "Code monétaire et financier - art. L561-32", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000033512796", "@num": "L561-36-1", "#text": "Code monétaire et financier - art. L561-36-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000020194510", "@num": "L573-1-1", "#text": "Code monétaire et financier - art. L573-1-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000019300050", "@num": "L573-2-1", "#text": "Code monétaire et financier - art. L573-2-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000031082918", "@num": "L613-62", "#text": "Code monétaire et financier - art. L613-62", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000031082920", "@num": "L613-62-1", "#text": "Code monétaire et financier - art. L613-62-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000042735757", "@num": "L745-10", "#text": "Code monétaire et financier - art. 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L775-23 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000032757161", "@fin": "2019-05-24", "#text": "Section 4 : Règles spécifiques concernant les entreprises d'investissement de pays tiers", "@debut": "2018-01-03" }, { "@id": "LEGISCTA000038611497", "@fin": "2999-01-01", "#text": "Section 4 : Règles spécifiques concernant les entreprises de pays tiers", "@debut": "2019-05-24" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006154696", "@fin": "2999-01-01", "#text": "Chapitre II : Conditions d'exercice de la profession", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006140119", "@fin": "2999-01-01", "#text": "Titre III : Les prestataires de services d'investissement", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006123943", "@fin": "2999-01-01", "#text": "Livre V : Les prestataires de services", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006101336", "@fin": "2999-01-01", "#text": "Partie législative", "@debut": "2001-01-01" } ] }, "@cid": "LEGITEXT000006072026", "@nature": "CODE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Code monétaire et financier", "@debut": "2001-01-01", "@id_txt": "LEGITEXT000006072026", "@c_titre_court": "Code monétaire et financier" } ], "@date_publi": "2999-01-01", "@date_signature": "2999-01-01" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE_MORT_NE", "LIEN_ART": { "@id": "LEGIARTI000032757202", "@fin": "2017-06-28", "@num": "L532-50", "@etat": "MODIFIE_MORT_NE", "@debut": "2018-01-03", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000035021637", "@fin": "2019-05-24", "@num": "L532-50", "@etat": "MODIFIE", "@debut": "2018-01-03", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000038611493", "@fin": "2021-06-26", "@num": "L532-50", "@etat": "MODIFIE", "@debut": "2019-05-24", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000043706836", "@fin": "2021-12-24", "@num": "L532-50", "@etat": "MODIFIE", "@debut": "2021-06-26", "@origine": "LEGI" } }, { "@etat": "VIGUEUR", "LIEN_ART": { "@id": "LEGIARTI000044563953", "@fin": "2999-01-01", "@num": "L532-50", "@etat": "VIGUEUR", "@debut": "2021-12-24", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "
\n

I.-L'Autorité de contrôle prudentiel et de résolution ne délivre l'agrément à la succursale de l'entreprise de pays tiers pétitionnaire que si l'entreprise de pays tiers dont dépend la succursale s'engage à exercer à l'égard de cette succursale des missions équivalentes à celles qui sont confiées par les articles L. 533-29 à L. 533-31-5 au conseil d'administration, au conseil de surveillance ou à tout autre organe exerçant des fonctions de surveillance équivalentes, ainsi qu'à l'assemblée générale et après s'être assurée que :

1° Les conditions prévues au II de l'article L. 532-48 sont remplies ;

2° La succursale est en mesure de se conformer aux dispositions du II du présent article.

L'Autorité de contrôle prudentiel et de résolution ne peut agréer la succursale que dans la limite des services que l'entreprise de pays tiers dont elle dépend est autorisée à fournir.

II.-Les articles L. 420-1 à L. 420-18, L. 421-10, L. 424-1 à L. 424-8, L. 425-1 à L. 425-8, L. 533-2, L. 533-9, L. 533-10, L. 533-10-1, L. 533-10-3 à L. 533-10-8, L. 533-11 à L. 533-16, L. 533-18 à L. 533-20, L. 533-24, L. 533-24-1 et L. 533-25 à L. 533-31-5 du présent code, ainsi que les articles 3 à 26 du règlement (UE) n° 600/2014 du Parlement européen et du Conseil du 15 mai 2014 concernant les marchés d'instruments financiers et modifiant le règlement (UE) n° 648/2012, s'appliquent aux succursales agréées conformément au I du présent article.

III.-Les dispositions du règlement (UE) 2019/2033 et les articles L. 533-2-2 à L. 533-3 et L. 533-4-3 à L. 533-4-8 s'appliquent aux succursales agréées conformément au I du présent article.

Le V de l'article L. 613-62 et l'article L. 613-62-1 s'appliquent aux succursales agréées conformément au I du présent article dans les conditions prévues pour les succursales d'établissement de crédit agréées conformément à l'article L. 532-48.

\n
\n
" } }, "LEGIARTI000045250804": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L775-24", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2024-01-01", "DATE_DEBUT": "2022-02-28" } }, "META_COMMUN": { "ID": "LEGIARTI000045250804", "URL": "article/LEGI/ARTI/00/00/45/25/08/LEGIARTI000045250804.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "NOTA": { "CONTENU": "

Conformément à l'article 16 de l'ordonnance n° 2021-1652 du 15 décembre 2021, ces dispositions entrent en vigueur le 28 février 2022.

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L229-7 (M)", "@sens": "source", "@cidtexte": "LEGITEXT000006074220", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000045236841", "@fin": "2999-01-01", "#text": "Sous-section 4 : Obligations des prestataires de services d'investissement", "@debut": "2022-02-26" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000045236827", "@fin": "2999-01-01", "#text": "Section 4 : Prestataires de services d'investissement", "@debut": "2022-02-26" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000045236737", "@fin": "2999-01-01", "#text": "Chapitre V : DISPOSITIONS PARTICULIÈRES AUX ÎLES WALLIS ET FUTUNA", "@debut": "2022-02-26" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000045236257", "@fin": "2999-01-01", "#text": "Titre VII : CONDITIONS D'APPLICATION EN OUTRE-MER DES DISPOSITIONS DU LIVRE V RELATIF AUX PRESTATAIRES DE SERVICES", "@debut": "2022-02-26" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000044065425", "@fin": "2999-01-01", "#text": "Livre VII : Dispositions relatives à l'outre-mer", "@debut": "2022-02-26" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006101336", "@fin": "2999-01-01", "#text": "Partie législative", "@debut": "2001-01-01" } ] }, "@cid": "LEGITEXT000006072026", "@nature": "CODE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Code monétaire et financier", "@debut": "2001-01-01", "@id_txt": "LEGITEXT000006072026", "@c_titre_court": "Code monétaire et financier" } ], "@date_publi": "2999-01-01", "@date_signature": "2999-01-01" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000045236843", "@fin": "2022-02-28", "@num": "L775-24", "@etat": "MODIFIE", "@debut": "2022-02-26", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000045250804", "@fin": "2024-01-01", "@num": "L775-24", "@etat": "MODIFIE", "@debut": "2022-02-28", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000048537760", "@fin": "2024-04-24", "@num": "L775-24", "@etat": "MODIFIE", "@debut": "2024-01-01", "@origine": "LEGI" } }, { "@etat": "VIGUEUR", "LIEN_ART": { "@id": "LEGIARTI000049461689", "@fin": "2999-01-01", "@num": "L775-24", "@etat": "VIGUEUR", "@debut": "2024-04-24", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

I.-Sous réserve des dispositions prévues au II et au III, sont applicables dans les îles Wallis et Futuna les articles mentionnés dans la colonne de gauche du tableau ci-après, dans leur rédaction indiquée dans la colonne de droite du même tableau :

\n
\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n

Articles applicables	Dans leur rédaction résultant de
\nL. 533-1 \n	l'ordonnance n° 2007-544 du 12 avril 2007 \n
\nL. 533-2 \n	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-2-1 à L. 533-2-3	l'ordonnance n° 2021-796 du 23 juin 2021 \n
\nL. 533-3 \n	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-4 à l'exception de ses deuxième et cinquième alinéas	l'ordonnance n° 2021-796 du 23 juin 2021 \n
\nL. 533-4-1 \n	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-4-2 à l'exception de son IV à L. 533-4-9	l'ordonnance n° 2021-796 du 23 juin 2021 \n
\nL. 533-5 \n	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-6 \n	l'ordonnance n° 2007-544 du 12 avril 2007 \n
\nL. 533-7 \n	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-8 \n	l'ordonnance n° 2007-544 du 12 avril 2007 \n
\nL. 533-9 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021 \n
\nL. 533-10 \n	l'ordonnance n° 2021-796 du 23 juin 2021 \n
\nL. 533-10-1 \n	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-10-2 à L. 533-10-8	l'ordonnance n° 2016-827 du 23 juin 2016 \n
\nL. 533-11 \n	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-12 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021 \n
\nL. 533-12-1 à L. 533-12-4	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-12-4-1 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021 \n
\nL. 533-12-5 et L. 533-12-6 \n	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-12-7 \n	la loi n° 2016-1691 du 9 décembre 2016 \n
\nL. 533-13 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021 \n
\nL. 533-13-1 \n	l'ordonnance n° 2016-827 du 23 juin 2016 \n
\nL. 533-14 \n	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-15 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021 \n
\nL. 533-16 à L. 533-18-1	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-18-2 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021 \n
\nL. 533-19 \n	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-20 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021 \n
\nL. 533-21 \n	l'ordonnance n° 2007-544 du 12 avril 2007 \n
\nL. 533-22 \n	la loi n° 2019-486 du 22 mai 2019 \n
\nL. 533-22-1 à l'exception de son III	la loi n° 2019-1147 du 8 novembre 2019 \n
\nL. 533-22-2 \n	la loi n° 2019-486 du 22 mai 2019 \n
\nL. 533-22-2-1 et L. 533-22-2-2 \n	l'ordonnance n° 2017 1107 du 22 juin 2017
\nL. 533-22-4 \n	la loi n° 2019-1147 du 8 novembre 2019 \n
\nL. 532-23 \n	l'ordonnance n° 2007-544 du 12 avril 2007 \n
\nL. 533-24 et L. 533-24-1 \n	l'ordonnance n° 2016-827 du 23 juin 2016 \n
\nL. 533-24-1-1 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021 \n
\nL. 533-24-2 à L. 533-25	l'ordonnance n° 2021-796 du 23 juin 2021 \n
\nL. 533-26 à l'exception du dernier alinéa de son II et L. 533-27 \n	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-27-1 \n	l'ordonnance n° 2020-1635 du 21 décembre 2020 \n
\nL. 533-28 \n	l'ordonnance n° 2014-158 du 20 février 2014 \n
\nL. 533-29 à L. 533 29-2, L. 533-29-4 à L. 533-31-5	l'ordonnance n° 2021-796 du 23 juin 2021 \n
\nL. 533-32 \n	l'ordonnance n° 2016-827 du 23 juin 2016 \n
\nL. 533-33 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021 \n

\n\n
\n

II.-Pour l'application du I, les références aux unités mentionnées à l'article L. 229-7 du code de l'environnement ne sont pas applicables.

III.-Pour l'application des articles mentionnés dans le tableau ci-dessus :

1° Au troisième alinéa de l'article L. 533-2-2 et au 1° de l'article L. 533-2-3, les mots : \" mentionnée à l'article 84 de la directive 2013/36/ UE du Parlement européen et du Conseil du 26 juin 2013 \" sont remplacés par les mots : \" définie par un arrêté du ministre chargé de l'économie. \" ;

2° A l'article L. 533-4 :

a) Le premier alinéa est ainsi rédigé :

\" Lorsqu'un prestataire de services d'investissement autre qu'une société de gestion de portefeuille a pour entreprise mère un établissement de crédit, une entreprise d'investissement, une compagnie financière holding ou une compagnie holding d'investissement qui a son siège social dans un pays tiers, l'Autorité de contrôle prudentiel et de résolution vérifie, de sa propre initiative ou à la demande de l'entreprise mère ou d'en entité réglementée, que ce prestataire de services d'investissement fait l'objet, de la part d'une autorité de surveillance du pays tiers, d'une surveillance consolidée équivalent à celle applicable en France. \" ;

b) Le quatrième alinéa est ainsi rédigé :

\" L'Autorité de contrôle prudentiel et de résolution peut aussi recourir à d'autres méthodes garantissant une surveillance consolidée équivalente. Elle peut notamment exiger la constitution d'une compagnie financière holding, d'une compagnie holding d'investissement ayant son siège social en France. \" ;

3° Le premier alinéa de l'article L. 533-9 est remplacé par les dispositions suivantes :

\" Lorsque les prestataires de services d'investissement autres que les sociétés de gestion de portefeuille négocient de gré à gré des instruments financiers économiquement équivalents à des instruments dérivés sur matières premières ou à des contrats financiers ayant pour sous-jacents ces dernières, ils fournissent, conformément à l'article 26 du règlement (UE) n° 600/2014 du Parlement européen et du Conseil du 15 mai 2014 concernant les marchés d'instruments financiers, au moins une fois par jour, à l'autorité compétente de la plate-forme de négociation où ces instruments ou unités sont négociés une ventilation complète : \" ;

4° A l'article L. 533-10-1, les mots : \" au sens du point b du paragraphe 1 de l'article 3 du règlement (CE) n° 1060/2009 du Parlement européen et du Conseil du 16 septembre 2009 sur les agences de notation de crédit \" sont remplacés par les mots : \" au sens d'une personne morale dont l'activité inclut l'émission de notations de crédit à titre professionnel \" ;

5° Aux articles L. 533-10-4 et L. 533-10-8, les comportements interdits ou contraires au règlement UE n° 596/2014 du Parlement européen et du Conseil du 16 avril 2014 sur les abus de marché, sont :

a) Les opérations d'initiés, définies comme l'usage par une personne, pour son propre compte ou pour le compte de tiers, d'informations privilégiées non encore rendues publiques ;

b) Les manipulations de marchés, définies comme le fait d'effectuer une transaction visant à donner des informations trompeuses ou fausses ;

6° Aux articles L. 533-10-5 et L. 533-10-8, les mots : \" ainsi qu'à l'autorité compétente désignée comme point de contact pour l'application du paragraphe 1 de l'article 79 de la directive 2014/65/ UE du 15 mai 2014 concernant les marchés d'instruments financiers et modifiant la directive 2002/92/ CE et la directive 2011/61/ UE, de la plate-forme de négociation concernée \" sont supprimés ;

7° A l'article L. 533-13-1 :

a) Les mots : \" au sens du chapitre III du titre Ier du livre III du code de la consommation \" sont supprimés ; µ

b) Les deux alinéas suivants sont ajoutés :

\" Constituent des contrats de crédit immobilier pour l'application du présent article, les contrats de crédit garantis par une hypothèque, par une autre sûreté comparable ou par un droit lié à un bien immobilier à usage résidentiel et les contrats de crédit destinés à permettre l'acquisition ou le maintien de droits de propriété sur un terrain ou un immeuble existant ou à construire.

\" Les intermédiaires en opérations de banque et en services de paiement peuvent fournir à leurs clients un service de conseil en matière d'opérations relatives à des contrats de crédit immobilier, à l'exclusion des opérations de regroupement de crédit. \" ;

8° A l'article L. 533-18-2, les mots : \" par l'article 1er du règlement délégué \" sont remplacés par les mots : \" au sens de l'article 1er du règlement délégué \" ;

9° A l'article L. 533-22-1 :

a) Au premier alinéa du I, les mots : \" en application de l'article 3 du règlement du Parlement européen et du Conseil sur la publication d'informations relatives aux investissements durables et aux risques en matière de durabilité et modifiant la directive (UE) 2016/2341 \" sont supprimés ;

b) Au second alinéa du II, les mots : \", en cohérence avec la stratégie nationale bas-carbone mentionnée à l'article L. 222-1 B du code de l'environnement \" sont supprimés ;

c) Au III, les mots : \" dont la publication est prévue par le règlement du Parlement européen et du Conseil mentionné au I du présent article \" sont supprimés ;

10° Au IV de l'article L. 533-22-2, les mots : \", par dérogation à l'article L. 1331-2 du code du travail, \" sont supprimés.

\n
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Conformément à l'article 16 de l'ordonnance n° 2021-1652 du 15 décembre 2021, ces dispositions entrent en vigueur le 28 février 2022.

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L533-10-1 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032754912", "@num": "L533-10-2", "#text": "Code monétaire et financier - art. L533-10-2 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657822", "@num": "L533-11", "#text": "Code monétaire et financier - art. L533-11 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657834", "@num": "L533-12", "#text": "Code monétaire et financier - art. L533-12 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032755051", "@num": "L533-12-1", "#text": "Code monétaire et financier - art. L533-12-1 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000044502760", "@num": "L533-12-4-1", "#text": "Code monétaire et financier - art. L533-12-4-1 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032755149", "@num": "L533-12-5", "#text": "Code monétaire et financier - art. L533-12-5 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032755169", "@num": "L533-12-6", "#text": "Code monétaire et financier - art. L533-12-6 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000033576895", "@num": "L533-12-7", "#text": "Code monétaire et financier - art. L533-12-7 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657871", "@num": "L533-13", "#text": "Code monétaire et financier - art. L533-13 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000019876805", "@num": "L533-13-1", "#text": "Code monétaire et financier - art. L533-13-1 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657893", "@num": "L533-14", "#text": "Code monétaire et financier - art. L533-14 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657906", "@num": "L533-15", "#text": "Code monétaire et financier - art. L533-15 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657920", "@num": "L533-16", "#text": "Code monétaire et financier - art. L533-16 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032755559", "@num": "L533-18-2", "#text": "Code monétaire et financier - art. L533-18-2 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657949", "@num": "L533-19", "#text": "Code monétaire et financier - art. L533-19 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657713", "@num": "L533-2", "#text": "Code monétaire et financier - art. L533-2 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000028633749", "@num": "L533-2-1", "#text": "Code monétaire et financier - art. L533-2-1 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657960", "@num": "L533-20", "#text": "Code monétaire et financier - art. L533-20 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657978", "@num": "L533-21", "#text": "Code monétaire et financier - art. L533-21 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657987", "@num": "L533-22", "#text": "Code monétaire et financier - art. L533-22 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000024420774", "@num": "L533-22-1", "#text": "Code monétaire et financier - art. L533-22-1 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000027764709", "@num": "L533-22-2", "#text": "Code monétaire et financier - art. L533-22-2 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035015607", "@num": "L533-22-2-1", "#text": "Code monétaire et financier - art. L533-22-2-1 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035015609", "@num": "L533-22-2-2", "#text": "Code monétaire et financier - art. L533-22-2-2 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000044566877", "@num": "L533-22-2-4", "#text": "Code monétaire et financier - art. L533-22-2-4 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006658025", "@num": "L533-24", "#text": "Code monétaire et financier - art. L533-24 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032755772", "@num": "L533-24-1", "#text": "Code monétaire et financier - art. L533-24-1 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000044502982", "@num": "L533-24-1-1", "#text": "Code monétaire et financier - art. L533-24-1-1 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697278", "@num": "L533-24-2", "#text": "Code monétaire et financier - art. L533-24-2 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000028633824", "@num": "L533-26", "#text": "Code monétaire et financier - art. L533-26 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000028633826", "@num": "L533-27", "#text": "Code monétaire et financier - art. L533-27 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000042725642", "@num": "L533-27-1", "#text": "Code monétaire et financier - art. L533-27-1 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000028633828", "@num": "L533-28", "#text": "Code monétaire et financier - art. L533-28 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000028633832", "@num": "L533-29", "#text": "Code monétaire et financier - art. L533-29 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697352", "@num": "L533-29-4", "#text": "Code monétaire et financier - art. L533-29-4 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657723", "@num": "L533-3", "#text": "Code monétaire et financier - art. L533-3 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032755835", "@num": "L533-32", "#text": "Code monétaire et financier - art. L533-32 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032755855", "@num": "L533-33", "#text": "Code monétaire et financier - art. L533-33 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657747", "@num": "L533-4", "#text": "Code monétaire et financier - art. L533-4 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657859", "@num": "L533-4-1", "#text": "Code monétaire et financier - art. L533-4-1 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697206", "@num": "L533-4-2", "#text": "Code monétaire et financier - art. L533-4-2 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657759", "@num": "L533-5", "#text": "Code monétaire et financier - art. L533-5 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657770", "@num": "L533-6", "#text": "Code monétaire et financier - art. L533-6 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657780", "@num": "L533-7", "#text": "Code monétaire et financier - art. L533-7 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657793", "@num": "L533-8", "#text": "Code monétaire et financier - art. L533-8 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657801", "@num": "L533-9", "#text": "Code monétaire et financier - art. L533-9 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000042735757", "@num": "L745-10", "#text": "Code monétaire et financier - art. L745-10 (Ab)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CONCORDANCE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006901446", "@num": "L1331-2", "#text": "Code du travail - art. L1331-2 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072050", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006833442", "@num": "L229-7", "#text": "Code de l'environnement - art. 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I.-Sous réserve des dispositions prévues au II et au III, sont applicables en Nouvelle-Calédonie les articles mentionnés dans la colonne de gauche du tableau ci-après, dans leur rédaction indiquée dans la colonne de droite du même tableau :

Articles applicables	Dans leur rédaction résultant de
\nL. 533-1 \n	l'ordonnance n° 2007-544 du 12 avril 2007 \n
\nL. 533-2 \n	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-2-1 à L. 533-2-3	l'ordonnance n° 2021-796 du 23 juin 2021 \n
\nL. 533-3,	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-4 à l'exception de ses deuxième et cinquième alinéas	l'ordonnance n° 2021-796 du 23 juin 2021 \n
\nL. 533-4-1 \n	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-4-2 à l'exception de son IV, à L. 533-4-9	l'ordonnance n° 2021-796 du 23 juin 2021 \n
\nL. 533-5 \n	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-6 \n	l'ordonnance n° 2007-544 du 12 avril 2007 \n
\nL. 533-7 \n	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-8 \n	l'ordonnance n° 2007-544 du 12 avril 2007 \n
\nL. 533-9 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021 \n
\nL. 533-10 \n	l'ordonnance n° 2021-796 du 23 juin 2021 \n
\nL. 533-10-1 \n	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-10-2 à L. 533-10-8	l'ordonnance n° 2016-827 du 23 juin 2016 \n
\nL. 533-11 \n	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-12 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021 \n
\nL. 533-12-1 à L. 533-12-4	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-12-4-1 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021 \n
\nL. 533-12-5 et L. 533-12-6 \n	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-12-7 \n	la loi n° 2016-1691 du 9 décembre 2016 \n
\nL. 533-13 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021 \n
\nL. 533-13-1 \n	l'ordonnance n° 2016-827 du 23 juin 2016 \n
\nL. 533-14 \n	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-15 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021 \n
\nL. 533-16 à L. 533-18-1	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-18-2 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021 \n
\nL. 533-19 \n	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-20 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021 \n
\nL. 533-21 \n	l'ordonnance n° 2007-544 du 12 avril 2007 \n
\nL. 533-22 \n	la loi n° 2019-486 du 22 mai 2019 \n
\nL. 533-22-1 à l'exception de son III	la loi n° 2019-1147 du 8 novembre 2019 \n
\nL. 533-22-2 \n	la loi n° 2019-486 du 22 mai 2019 \n
\nL. 533-22-2-1 et L. 533-22-2-2 \n	l'ordonnance n° 2017 1107 du 22 juin 2017
\nL. 533-22-4 \n	la loi n° 2019-1147 du 8 novembre 2019 \n
\nL. 532-23 \n	l'ordonnance n° 2007-544 du 12 avril 2007 \n
\nL. 533-24 et à L. 533-24-1 \n	l'ordonnance n° 2016-827 du 23 juin 2016 \n
\nL. 533-24-1-1 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021 \n
\nL. 533-24-2 à L. 533-25	l'ordonnance n° 2021-796 du 23 juin 2021 \n
\nL. 533-26 à l'exception du dernier alinéa de son II et L. 533-27 \n	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-27-1 \n	l'ordonnance n° 2020-1635 du 21 décembre 2020 \n
\nL. 533-28 \n	l'ordonnance n° 2014-158 du 20 février 2014 \n
\nL. 533-29 à L. 533-29-2, L. 533-29-4 à L. 533-31-5	l'ordonnance n° 2021-796 du 23 juin 2021 \n
\nL. 533-32 \n	l'ordonnance n° 2016-827 du 23 juin 2016 \n
\nL. 533-33\n	l'ordonnance n° 2021-1652 du 15 décembre 2021 \n

\n\n
\n

II.-Pour l'application du I, les références aux unités mentionnées à l'article L. 229-7 du code de l'environnement ne sont pas applicables.

III.-Pour l'application des articles mentionnés dans le tableau ci-dessus :

2° A l'article L. 533-4 :

a) Le premier alinéa est ainsi rédigé :

b) Le quatrième alinéa est ainsi rédigé :

\" L'Autorité de contrôle prudentiel et de résolution peut aussi recourir à d'autres méthodes garantissant une surveillance consolidée équivalente. Elle peut notamment exiger la constitution d'une compagnie financière holding ou d'une compagnie holding d'investissement ayant son siège social en France. \" ;

3° Le premier alinéa de l'article L. 533-9 est remplacé par les dispositions suivantes :

a) Les opérations d'initiés, définies comme l'usage par une personne, pour son propre compte ou pour le compte de tiers, d'informations privilégiées non encore rendues publiques ;

b) Les manipulations de marchés, définies comme le fait d'effectuer une transaction visant à donner des informations trompeuses ou fausses ;

7° A l'article L. 533-13-1 :

a) Les mots : \" au sens du chapitre III du titre Ier du livre III du code de la consommation \" sont supprimés ;

b) Les deux alinéas suivants sont ajoutés :

8° A l'article L. 533-18-2, les mots : \" par l'article 1er du règlement délégué \" sont remplacés par les mots : \" au sens de l'article 1er du règlement délégué \" ;

9° A l'article L. 533-22-1 :

a) Au second alinéa du II, les mots : \", en cohérence avec la stratégie nationale bas-carbone mentionnée à l'article L. 222-1 B du code de l'environnement \" sont supprimés ;

10° Au IV de l'article L. 533-22-2, les mots : \", par dérogation à l'article L. 1331-2 du code du travail, \" sont supprimés.

" } }, "LEGIARTI000045250814": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L774-30", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2024-01-01", "DATE_DEBUT": "2022-02-28" } }, "META_COMMUN": { "ID": "LEGIARTI000045250814", "URL": "article/LEGI/ARTI/00/00/45/25/08/LEGIARTI000045250814.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "NOTA": { "CONTENU": "

Conformément à l'article 16 de l'ordonnance n° 2021-1652 du 15 décembre 2021, ces dispositions entrent en vigueur le 28 février 2022.

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L533-5 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657770", "@num": "L533-6", "#text": "Code monétaire et financier - art. L533-6 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657780", "@num": "L533-7", "#text": "Code monétaire et financier - art. L533-7 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657793", "@num": "L533-8", "#text": "Code monétaire et financier - art. L533-8 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657801", "@num": "L533-9", "#text": "Code monétaire et financier - art. 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L229-7 (M)", "@sens": "source", "@cidtexte": "LEGITEXT000006074220", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000045236647", "@fin": "2999-01-01", "#text": "Sous-section 4 : Obligations des prestataires de services d'investissement", "@debut": "2022-02-26" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000045236633", "@fin": "2999-01-01", "#text": "Section 5 : Prestataires de services d'investissement", "@debut": "2022-02-26" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000045236519", "@fin": "2999-01-01", "#text": "Chapitre IV : DISPOSITIONS PARTICULIÈRES À LA POLYNÉSIE FRANÇAISE", "@debut": "2022-02-26" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000045236257", "@fin": "2999-01-01", "#text": "Titre VII : CONDITIONS D'APPLICATION EN OUTRE-MER DES DISPOSITIONS DU LIVRE V RELATIF AUX PRESTATAIRES DE SERVICES", "@debut": "2022-02-26" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000044065425", "@fin": "2999-01-01", "#text": "Livre VII : Dispositions relatives à l'outre-mer", "@debut": "2022-02-26" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006101336", "@fin": "2999-01-01", "#text": "Partie législative", "@debut": "2001-01-01" } ] }, "@cid": "LEGITEXT000006072026", "@nature": "CODE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Code monétaire et financier", "@debut": "2001-01-01", "@id_txt": "LEGITEXT000006072026", "@c_titre_court": "Code monétaire et financier" } ], "@date_publi": "2999-01-01", "@date_signature": "2999-01-01" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000045236649", "@fin": "2022-02-28", "@num": "L774-30", "@etat": "MODIFIE", "@debut": "2022-02-26", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000045250814", "@fin": "2024-01-01", "@num": "L774-30", "@etat": "MODIFIE", "@debut": "2022-02-28", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000048537829", "@fin": "2024-04-24", "@num": "L774-30", "@etat": "MODIFIE", "@debut": "2024-01-01", "@origine": "LEGI" } }, { "@etat": "VIGUEUR", "LIEN_ART": { "@id": "LEGIARTI000049461755", "@fin": "2999-01-01", "@num": "L774-30", "@etat": "VIGUEUR", "@debut": "2024-04-24", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

I.-Sous réserve des dispositions prévues au II et au III, sont applicables en Polynésie française les articles mentionnés dans la colonne de gauche du tableau ci-après, dans leur rédaction indiquée dans la colonne de droite du même tableau :

Articles applicables	Dans leur rédaction résultant de
\nL. 533-1 \n	l'ordonnance n° 2007-544 du 12 avril 2007 \n
\nL. 533-2 \n	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-2-1 à L. 533-2-3	l'ordonnance n° 2021-796 du 23 juin 2021 \n
\nL. 533-3 \n	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-4 à l'exception de ses deuxième et cinquième alinéas	l'ordonnance n° 2021-796 du 23 juin 2021 \n
\nL. 533-4-1 \n	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-4-2 à l'exception de son IV à L. 533-4-9	l'ordonnance n° 2021-796 du 23 juin 2021 \n
\nL. 533-5 \n	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-6 \n	l'ordonnance n° 2007-544 du 12 avril 2007 \n
\nL. 533-7 \n	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-8 \n	l'ordonnance n° 2007-544 du 12 avril 2007 \n
\nL. 533-9 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021 \n
\nL. 533-10 \n	l'ordonnance n° 2021-796 du 23 juin 2021 \n
\nL. 533-10-1 \n	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-10-2 à L. 533-10-8	l'ordonnance n° 2016-827 du 23 juin 2016 \n
\nL. 533-11 \n	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-12 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021 \n
\nL. 533-12-1 à L. 533-12-4	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-12-4-1 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021 \n
\nL. 533-12-5 et L. 533-12-6 \n	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-12-7 \n	la loi n° 2016-1691 du 9 décembre 2016 \n
\nL. 533-13 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021 \n
\nL. 533-13-1 \n	l'ordonnance n° 2016-827 du 23 juin 2016 \n
\nL. 533-14 \n	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-15 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021 \n
\nL. 533-16 à L. 533-18-1	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-18-2 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021 \n
\nL. 533-19 \n	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-20 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021 \n
\nL. 533-21 \n	l'ordonnance n° 2007-544 du 12 avril 2007 \n
\nL. 533-22 \n	la loi n° 2019-486 du 22 mai 2019 \n
\nL. 533-22-1 à l'exception de son III	la loi n° 2019-1147 du 8 novembre 2019 \n
\nL. 533-22-2 \n	la loi n° 2019-486 du 22 mai 2019 \n
\nL. 533-22-2-1 et L. 533-22-2-2 \n	l'ordonnance n° 2017 1107 du 22 juin 2017
\nL. 533-22-4 \n	la loi n° 2019-1147 du 8 novembre 2019 \n
\nL. 532-23 \n	l'ordonnance n° 2007-544 du 12 avril 2007 \n
\nL. 533-24 et L. 533-24-1 \n	l'ordonnance n° 2016-827 du 23 juin 2016 \n
\nL. 533-24-1-1 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021 \n
\nL. 533-24-2 à L. 533-25	l'ordonnance n° 2021-796 du 23 juin 2021 \n
\nL. 533-26 à l'exception du dernier alinéa de son II et L. 533-27 \n	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-27-1 \n	l'ordonnance n° 2020-1635 du 21 décembre 2020 \n
\nL. 533-28 \n	l'ordonnance n° 2014-158 du 20 février 2014 \n
\nL. 533-29 à L. 533-29-2, L. 533-29-4 à L. 533-31-5	l'ordonnance n° 2021-796 du 23 juin 2021 \n
\nL. 533-32 \n	l'ordonnance n° 2016-827 du 23 juin 2016 \n
\nL. 533-33\n	l'ordonnance n° 2021-1652 du 15 décembre 2021 \n

\n\n
\n

II.-Pour l'application du I, les références aux unités mentionnées à l'article L. 229-7 du code de l'environnement ne sont pas applicables.

III.-Pour l'application des articles mentionnés dans le tableau ci-dessus :

2° A l'article L. 533-4 :

a) Le premier alinéa est ainsi rédigé :

b) Le quatrième alinéa est ainsi rédigé :

3° Le premier alinéa de l'article L. 533-9 est remplacé par les dispositions suivantes :

a) Les opérations d'initiés, définies comme l'usage par une personne, pour son propre compte ou pour le compte de tiers, d'informations privilégiées non encore rendues publiques ;

b) Les manipulations de marchés, définies comme le fait d'effectuer une transaction visant à donner des informations trompeuses ou fausses ;

7° A l'article L. 533-13-1 :

a) Les mots : \" au sens du chapitre III du titre Ier du livre III du code de la consommation \" sont supprimés ;

b) Les deux alinéas suivants sont ajoutés :

8° A l'article L. 533-18-2, les mots : \" par l'article 1er du règlement délégué \" sont remplacés par les mots : \" au sens de l'article 1er du règlement délégué \".

9° A l'article L. 533-22-1 :

b) Au second alinéa du II, les mots : \", en cohérence avec la stratégie nationale bas-carbone mentionnée à l'article L. 222-1 B du code de l'environnement \" sont supprimés ;

10° Au IV de l'article L. 533-22-2, les mots : \", par dérogation à l'article L. 1331-2 du code du travail, \" sont supprimés.

" } }, "LEGIARTI000048537760": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L775-24", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2024-04-24", "DATE_DEBUT": "2024-01-01" } }, "META_COMMUN": { "ID": "LEGIARTI000048537760", "URL": "article/LEGI/ARTI/00/00/48/53/77/LEGIARTI000048537760.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "NOTA": { "CONTENU": "

Conformément à l'article 32 de l'ordonnance n° 2023-1142 du 6 décembre 2023, ces dispositions entrent en vigueur le 1er janvier 2024.

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L533-10-2", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657822", "@num": "L533-11", "#text": "Code monétaire et financier - art. L533-11", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657834", "@num": "L533-12", "#text": "Code monétaire et financier - art. L533-12", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032755051", "@num": "L533-12-1", "#text": "Code monétaire et financier - art. L533-12-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000044502760", "@num": "L533-12-4-1", "#text": "Code monétaire et financier - art. L533-12-4-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032755149", "@num": "L533-12-5", "#text": "Code monétaire et financier - art. L533-12-5", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032755169", "@num": "L533-12-6", "#text": "Code monétaire et financier - art. L533-12-6", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000033576895", "@num": "L533-12-7", "#text": "Code monétaire et financier - art. L533-12-7", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657871", "@num": "L533-13", "#text": "Code monétaire et financier - art. L533-13", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000019876805", "@num": "L533-13-1", "#text": "Code monétaire et financier - art. L533-13-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657893", "@num": "L533-14", "#text": "Code monétaire et financier - art. L533-14", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657906", "@num": "L533-15", "#text": "Code monétaire et financier - art. L533-15", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657920", "@num": "L533-16", "#text": "Code monétaire et financier - art. L533-16", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032755559", "@num": "L533-18-2", "#text": "Code monétaire et financier - art. L533-18-2", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657949", "@num": "L533-19", "#text": "Code monétaire et financier - art. L533-19", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657713", "@num": "L533-2", "#text": "Code monétaire et financier - art. L533-2", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000028633749", "@num": "L533-2-1", "#text": "Code monétaire et financier - art. L533-2-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000028633751", "@num": "L533-2-2", "#text": "Code monétaire et financier - art. L533-2-2", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657960", "@num": "L533-20", "#text": "Code monétaire et financier - art. L533-20", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657978", "@num": "L533-21", "#text": "Code monétaire et financier - art. L533-21", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657987", "@num": "L533-22", "#text": "Code monétaire et financier - art. L533-22", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000024420774", "@num": "L533-22-1", "#text": "Code monétaire et financier - art. L533-22-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000027764709", "@num": "L533-22-2", "#text": "Code monétaire et financier - art. L533-22-2", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035015607", "@num": "L533-22-2-1", "#text": "Code monétaire et financier - art. L533-22-2-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035015609", "@num": "L533-22-2-2", "#text": "Code monétaire et financier - art. L533-22-2-2", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000038540267", "@num": "L533-22-4", "#text": "Code monétaire et financier - art. L533-22-4", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006658025", "@num": "L533-24", "#text": "Code monétaire et financier - art. L533-24", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032755772", "@num": "L533-24-1", "#text": "Code monétaire et financier - art. L533-24-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000044502982", "@num": "L533-24-1-1", "#text": "Code monétaire et financier - art. L533-24-1-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697278", "@num": "L533-24-2", "#text": "Code monétaire et financier - art. L533-24-2", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000028633824", "@num": "L533-26", "#text": "Code monétaire et financier - art. L533-26", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000028633826", "@num": "L533-27", "#text": "Code monétaire et financier - art. L533-27", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000042725642", "@num": "L533-27-1", "#text": "Code monétaire et financier - art. L533-27-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000028633828", "@num": "L533-28", "#text": "Code monétaire et financier - art. L533-28", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000028633832", "@num": "L533-29", "#text": "Code monétaire et financier - art. L533-29", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697352", "@num": "L533-29-4", "#text": "Code monétaire et financier - art. L533-29-4", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657723", "@num": "L533-3", "#text": "Code monétaire et financier - art. L533-3", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032755835", "@num": "L533-32", "#text": "Code monétaire et financier - art. L533-32", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032755855", "@num": "L533-33", "#text": "Code monétaire et financier - art. L533-33", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657747", "@num": "L533-4", "#text": "Code monétaire et financier - art. L533-4", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657859", "@num": "L533-4-1", "#text": "Code monétaire et financier - art. L533-4-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697206", "@num": "L533-4-2", "#text": "Code monétaire et financier - art. 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Articles applicables	Dans leur rédaction résultant de
\nL. 533-1 \n	l'ordonnance n° 2007-544 du 12 avril 2007 \n
\nL. 533-2 \n	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-2-1 à L. 533-2-3	l'ordonnance n° 2021-796 du 23 juin 2021 \n
\nL. 533-3 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-4 à l'exception de ses deuxième et cinquième alinéas	l'ordonnance n° 2021-796 du 23 juin 2021
\nL. 533-4-1 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-4-2 à l'exception de son IV à L. 533-4-9	l'ordonnance n° 2021-796 du 23 juin 2021
\nL. 533-5 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-6 \n	l'ordonnance n° 2007-544 du 12 avril 2007
\nL. 533-7 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-8 \n	l'ordonnance n° 2007-544 du 12 avril 2007
\nL. 533-9 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021 \n
\nL. 533-10 \n	l'ordonnance n° 2021-796 du 23 juin 2021
\nL. 533-10-1 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-10-2 à L. 533-10-8	l'ordonnance n° 2016-827 du 23 juin 2016 \n
\nL. 533-11 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-12 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021
\nL. 533-12-1 à L. 533-12-4	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-12-4-1 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021
\nL. 533-12-5 et L. 533-12-6 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-12-7 \n	la loi n° 2016-1691 du 9 décembre 2016 \n
\nL. 533-13 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021
\nL. 533-13-1 \n	l'ordonnance n° 2016-827 du 23 juin 2016
\nL. 533-14 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-15 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021
\nL. 533-16 à L. 533-18-1	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-18-2 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021
\nL. 533-19 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-20 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021
\nL. 533-21 \n	l'ordonnance n° 2007-544 du 12 avril 2007
\nL. 533-22 \n	la loi n° 2019-486 du 22 mai 2019 \n
L. 533-22-1	l'ordonnance n° 2023-1142 du 6 décembre 2023
\nL. 533-22-2 \n	la loi n° 2019-486 du 22 mai 2019
\nL. 533-22-2-1 et L. 533-22-2-2 \n	l'ordonnance n° 2017 1107 du 22 juin 2017
\nL. 533-22-4 \n	la loi n° 2019-1147 du 8 novembre 2019
\nL. 532-23 \n	l'ordonnance n° 2007-544 du 12 avril 2007
\nL. 533-24 et L. 533-24-1 \n	l'ordonnance n° 2016-827 du 23 juin 2016
\nL. 533-24-1-1 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021
\nL. 533-24-2 à L. 533-25	l'ordonnance n° 2021-796 du 23 juin 2021
\nL. 533-26 à l'exception du dernier alinéa de son II et L. 533-27 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-27-1 \n	l'ordonnance n° 2020-1635 du 21 décembre 2020 \n
\nL. 533-28 \n	l'ordonnance n° 2014-158 du 20 février 2014 \n
\nL. 533-29 à L. 533 29-2, L. 533-29-4 à L. 533-31-5	l'ordonnance n° 2021-796 du 23 juin 2021
\nL. 533-32 \n	l'ordonnance n° 2016-827 du 23 juin 2016
\nL. 533-33 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021

\n\n

II.-Pour l'application du I, les références aux unités mentionnées à l'article L. 229-7 du code de l'environnement ne sont pas applicables.

III.-Pour l'application des articles mentionnés dans le tableau ci-dessus :

2° A l'article L. 533-4 :

a) Le premier alinéa est ainsi rédigé :

b) Le quatrième alinéa est ainsi rédigé :

3° Le premier alinéa de l'article L. 533-9 est remplacé par les dispositions suivantes :

a) Les opérations d'initiés, définies comme l'usage par une personne, pour son propre compte ou pour le compte de tiers, d'informations privilégiées non encore rendues publiques ;

b) Les manipulations de marchés, définies comme le fait d'effectuer une transaction visant à donner des informations trompeuses ou fausses ;

7° A l'article L. 533-13-1 :

a) Les mots : \" au sens du chapitre III du titre Ier du livre III du code de la consommation \" sont supprimés ; µ

b) Les deux alinéas suivants sont ajoutés :

8° A l'article L. 533-18-2, les mots : \" par l'article 1er du règlement délégué \" sont remplacés par les mots : \" au sens de l'article 1er du règlement délégué \" ;

9° A l'article L. 533-22-1 :

b) Au second alinéa du II, les mots : \", en cohérence avec la stratégie nationale bas-carbone mentionnée à l'article L. 222-1 B du code de l'environnement \" sont supprimés ;

c) Au III, les mots : \" dont la publication est prévue par le règlement du Parlement européen et du Conseil mentionné au I du présent article \" sont supprimés ;

10° Au IV de l'article L. 533-22-2, les mots : \", par dérogation à l'article L. 1331-2 du code du travail, \" sont supprimés.

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Conformément à l'article 32 de l'ordonnance n° 2023-1142 du 6 décembre 2023, ces dispositions entrent en vigueur le 1er janvier 2024.

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Articles applicables	Dans leur rédaction résultant de
\nL. 533-1 \n	l'ordonnance n° 2007-544 du 12 avril 2007 \n
\nL. 533-2 \n	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-2-1 à L. 533-2-3	l'ordonnance n° 2021-796 du 23 juin 2021 \n
\nL. 533-3 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-4 à l'exception de ses deuxième et cinquième alinéas	l'ordonnance n° 2021-796 du 23 juin 2021
\nL. 533-4-1 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-4-2 à l'exception de son IV à L. 533-4-9	l'ordonnance n° 2021-796 du 23 juin 2021
\nL. 533-5 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-6 \n	l'ordonnance n° 2007-544 du 12 avril 2007
\nL. 533-7 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-8 \n	l'ordonnance n° 2007-544 du 12 avril 2007
\nL. 533-9 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021 \n
\nL. 533-10 \n	l'ordonnance n° 2021-796 du 23 juin 2021
\nL. 533-10-1 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-10-2 à L. 533-10-8	l'ordonnance n° 2016-827 du 23 juin 2016 \n
\nL. 533-11 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-12 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021
\nL. 533-12-1 à L. 533-12-4	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-12-4-1 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021
\nL. 533-12-5 et L. 533-12-6 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-12-7 \n	la loi n° 2016-1691 du 9 décembre 2016 \n
\nL. 533-13 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021
\nL. 533-13-1 \n	l'ordonnance n° 2016-827 du 23 juin 2016
\nL. 533-14 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-15 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021
\nL. 533-16 à L. 533-18-1	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-18-2 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021
\nL. 533-19 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-20 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021
\nL. 533-21 \n	l'ordonnance n° 2007-544 du 12 avril 2007
\nL. 533-22 \n	la loi n° 2019-486 du 22 mai 2019 \n
L. 533-22-1	l'ordonnance n° 2023-1142 du 6 décembre 2023
\nL. 533-22-2 \n	la loi n° 2019-486 du 22 mai 2019
\nL. 533-22-2-1 et L. 533-22-2-2 \n	l'ordonnance n° 2017 1107 du 22 juin 2017
\nL. 533-22-4 \n	la loi n° 2019-1147 du 8 novembre 2019
\nL. 532-23 \n	l'ordonnance n° 2007-544 du 12 avril 2007
\nL. 533-24 et L. 533-24-1 \n	l'ordonnance n° 2016-827 du 23 juin 2016
\nL. 533-24-1-1 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021
\nL. 533-24-2 à L. 533-25	l'ordonnance n° 2021-796 du 23 juin 2021
\nL. 533-26 à l'exception du dernier alinéa de son II et L. 533-27 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-27-1 \n	l'ordonnance n° 2020-1635 du 21 décembre 2020 \n
\nL. 533-28 \n	l'ordonnance n° 2014-158 du 20 février 2014 \n
\nL. 533-29 à L. 533-29-2, L. 533-29-4 à L. 533-31-5	l'ordonnance n° 2021-796 du 23 juin 2021
\nL. 533-32 \n	l'ordonnance n° 2016-827 du 23 juin 2016
\nL. 533-33\n	l'ordonnance n° 2021-1652 du 15 décembre 2021

\n\n

II.-Pour l'application du I, les références aux unités mentionnées à l'article L. 229-7 du code de l'environnement ne sont pas applicables.

III.-Pour l'application des articles mentionnés dans le tableau ci-dessus :

2° A l'article L. 533-4 :

a) Le premier alinéa est ainsi rédigé :

b) Le quatrième alinéa est ainsi rédigé :

3° Le premier alinéa de l'article L. 533-9 est remplacé par les dispositions suivantes :

a) Les opérations d'initiés, définies comme l'usage par une personne, pour son propre compte ou pour le compte de tiers, d'informations privilégiées non encore rendues publiques ;

b) Les manipulations de marchés, définies comme le fait d'effectuer une transaction visant à donner des informations trompeuses ou fausses ;

7° A l'article L. 533-13-1 :

a) Les mots : \" au sens du chapitre III du titre Ier du livre III du code de la consommation \" sont supprimés ;

b) Les deux alinéas suivants sont ajoutés :

8° A l'article L. 533-18-2, les mots : \" par l'article 1er du règlement délégué \" sont remplacés par les mots : \" au sens de l'article 1er du règlement délégué \".

9° A l'article L. 533-22-1 :

b) Au second alinéa du II, les mots : \", en cohérence avec la stratégie nationale bas-carbone mentionnée à l'article L. 222-1 B du code de l'environnement \" sont supprimés ;

10° Au IV de l'article L. 533-22-2, les mots : \", par dérogation à l'article L. 1331-2 du code du travail, \" sont supprimés.

\n
" } }, "LEGIARTI000048537897": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L773-30", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2024-04-24", "DATE_DEBUT": "2024-01-01" } }, "META_COMMUN": { "ID": "LEGIARTI000048537897", "URL": "article/LEGI/ARTI/00/00/48/53/78/LEGIARTI000048537897.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "NOTA": { "CONTENU": "

Conformément à l'article 32 de l'ordonnance n° 2023-1142 du 6 décembre 2023, ces dispositions entrent en vigueur le 1er janvier 2024.

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L533-2", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000028633749", "@num": "L533-2-1", "#text": "Code monétaire et financier - art. L533-2-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657960", "@num": "L533-20", "#text": "Code monétaire et financier - art. L533-20", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657978", "@num": "L533-21", "#text": "Code monétaire et financier - art. L533-21", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657987", "@num": "L533-22", "#text": "Code monétaire et financier - art. L533-22", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000024420774", "@num": "L533-22-1", "#text": "Code monétaire et financier - art. L533-22-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000027764709", "@num": "L533-22-2", "#text": "Code monétaire et financier - art. L533-22-2", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035015607", "@num": "L533-22-2-1", "#text": "Code monétaire et financier - art. L533-22-2-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035015609", "@num": "L533-22-2-2", "#text": "Code monétaire et financier - art. L533-22-2-2", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000044566877", "@num": "L533-22-2-4", "#text": "Code monétaire et financier - art. L533-22-2-4", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006658025", "@num": "L533-24", "#text": "Code monétaire et financier - art. L533-24", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032755772", "@num": "L533-24-1", "#text": "Code monétaire et financier - art. L533-24-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000044502982", "@num": "L533-24-1-1", "#text": "Code monétaire et financier - art. L533-24-1-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697278", "@num": "L533-24-2", "#text": "Code monétaire et financier - art. L533-24-2", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000028633824", "@num": "L533-26", "#text": "Code monétaire et financier - art. L533-26", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000028633826", "@num": "L533-27", "#text": "Code monétaire et financier - art. L533-27", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000042725642", "@num": "L533-27-1", "#text": "Code monétaire et financier - art. L533-27-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000028633828", "@num": "L533-28", "#text": "Code monétaire et financier - art. L533-28", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000028633832", "@num": "L533-29", "#text": "Code monétaire et financier - art. L533-29", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697352", "@num": "L533-29-4", "#text": "Code monétaire et financier - art. L533-29-4", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657723", "@num": "L533-3", "#text": "Code monétaire et financier - art. L533-3", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032755835", "@num": "L533-32", "#text": "Code monétaire et financier - art. L533-32", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032755855", "@num": "L533-33", "#text": "Code monétaire et financier - art. L533-33", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657747", "@num": "L533-4", "#text": "Code monétaire et financier - art. L533-4", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657859", "@num": "L533-4-1", "#text": "Code monétaire et financier - art. L533-4-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697206", "@num": "L533-4-2", "#text": "Code monétaire et financier - art. 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Articles applicables	Dans leur rédaction résultant de
\nL. 533-1 \n	l'ordonnance n° 2007-544 du 12 avril 2007 \n
\nL. 533-2 \n	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-2-1 à L. 533-2-3	l'ordonnance n° 2021-796 du 23 juin 2021 \n
\nL. 533-3,	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-4 à l'exception de ses deuxième et cinquième alinéas	l'ordonnance n° 2021-796 du 23 juin 2021
\nL. 533-4-1 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-4-2 à l'exception de son IV, à L. 533-4-9	l'ordonnance n° 2021-796 du 23 juin 2021
\nL. 533-5 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-6 \n	l'ordonnance n° 2007-544 du 12 avril 2007
\nL. 533-7 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-8 \n	l'ordonnance n° 2007-544 du 12 avril 2007
\nL. 533-9 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021 \n
\nL. 533-10 \n	l'ordonnance n° 2021-796 du 23 juin 2021
\nL. 533-10-1 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-10-2 à L. 533-10-8	l'ordonnance n° 2016-827 du 23 juin 2016 \n
\nL. 533-11 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-12 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021
\nL. 533-12-1 à L. 533-12-4	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-12-4-1 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021
\nL. 533-12-5 et L. 533-12-6 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-12-7 \n	la loi n° 2016-1691 du 9 décembre 2016 \n
\nL. 533-13 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021
\nL. 533-13-1 \n	l'ordonnance n° 2016-827 du 23 juin 2016
\nL. 533-14 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-15 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021
\nL. 533-16 à L. 533-18-1	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-18-2 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021
\nL. 533-19 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-20 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021
\nL. 533-21 \n	l'ordonnance n° 2007-544 du 12 avril 2007
\nL. 533-22 \n	la loi n° 2019-486 du 22 mai 2019 \n
L. 533-22-1	l'ordonnance n° 2023-1142 du 6 décembre 2023
\nL. 533-22-2 \n	la loi n° 2019-486 du 22 mai 2019
\nL. 533-22-2-1 et L. 533-22-2-2 \n	l'ordonnance n° 2017 1107 du 22 juin 2017
\nL. 533-22-4 \n	la loi n° 2019-1147 du 8 novembre 2019
\nL. 532-23 \n	l'ordonnance n° 2007-544 du 12 avril 2007
\nL. 533-24 et à L. 533-24-1 \n	l'ordonnance n° 2016-827 du 23 juin 2016
\nL. 533-24-1-1 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021
\nL. 533-24-2 à L. 533-25	l'ordonnance n° 2021-796 du 23 juin 2021
\nL. 533-26 à l'exception du dernier alinéa de son II et L. 533-27 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-27-1 \n	l'ordonnance n° 2020-1635 du 21 décembre 2020 \n
\nL. 533-28 \n	l'ordonnance n° 2014-158 du 20 février 2014 \n
\nL. 533-29 à L. 533-29-2, L. 533-29-4 à L. 533-31-5	l'ordonnance n° 2021-796 du 23 juin 2021
\nL. 533-32 \n	l'ordonnance n° 2016-827 du 23 juin 2016
\nL. 533-33\n	l'ordonnance n° 2021-1652 du 15 décembre 2021

\n\n

II.-Pour l'application du I, les références aux unités mentionnées à l'article L. 229-7 du code de l'environnement ne sont pas applicables.

III.-Pour l'application des articles mentionnés dans le tableau ci-dessus :

2° A l'article L. 533-4 :

a) Le premier alinéa est ainsi rédigé :

b) Le quatrième alinéa est ainsi rédigé :

\" L'Autorité de contrôle prudentiel et de résolution peut aussi recourir à d'autres méthodes garantissant une surveillance consolidée équivalente. Elle peut notamment exiger la constitution d'une compagnie financière holding ou d'une compagnie holding d'investissement ayant son siège social en France. \" ;

3° Le premier alinéa de l'article L. 533-9 est remplacé par les dispositions suivantes :

a) Les opérations d'initiés, définies comme l'usage par une personne, pour son propre compte ou pour le compte de tiers, d'informations privilégiées non encore rendues publiques ;

b) Les manipulations de marchés, définies comme le fait d'effectuer une transaction visant à donner des informations trompeuses ou fausses ;

7° A l'article L. 533-13-1 :

a) Les mots : \" au sens du chapitre III du titre Ier du livre III du code de la consommation \" sont supprimés ;

b) Les deux alinéas suivants sont ajoutés :

8° A l'article L. 533-18-2, les mots : \" par l'article 1er du règlement délégué \" sont remplacés par les mots : \" au sens de l'article 1er du règlement délégué \" ;

9° A l'article L. 533-22-1 :

a) Au second alinéa du II, les mots : \", en cohérence avec la stratégie nationale bas-carbone mentionnée à l'article L. 222-1 B du code de l'environnement \" sont supprimés ;

10° Au IV de l'article L. 533-22-2, les mots : \", par dérogation à l'article L. 1331-2 du code du travail, \" sont supprimés.

\n
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Articles applicables	Dans leur rédaction résultant de
\nL. 533-1 \n	l'ordonnance n° 2007-544 du 12 avril 2007 \n
\nL. 533-2 \n	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-2-1 à L. 533-2-3	l'ordonnance n° 2021-796 du 23 juin 2021 \n
\nL. 533-3 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-4 à l'exception de ses deuxième et cinquième alinéas	l'ordonnance n° 2021-796 du 23 juin 2021
\nL. 533-4-1 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-4-2 à l'exception de son IV à L. 533-4-9	l'ordonnance n° 2021-796 du 23 juin 2021
\nL. 533-5 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-6 \n	l'ordonnance n° 2007-544 du 12 avril 2007
\nL. 533-7 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-8 \n	l'ordonnance n° 2007-544 du 12 avril 2007
\nL. 533-9 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021 \n
\nL. 533-10 \n	l'ordonnance n° 2021-796 du 23 juin 2021
\nL. 533-10-1 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-10-2 à L. 533-10-8	l'ordonnance n° 2016-827 du 23 juin 2016 \n
\nL. 533-11 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-12 \n	la loi n° 2024-364 du 22 avril 2024 portant diverses dispositions d'adaptation au droit de l'Union européenne en matière d'économie, de finances, de transition écologique, de droit pénal, de droit social et en matière agricole
\nL. 533-12-1 à L. 533-12-4	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-12-4-1 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021
\nL. 533-12-5 et L. 533-12-6 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-12-7 \n	la loi n° 2016-1691 du 9 décembre 2016 \n
\nL. 533-13 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021
\nL. 533-13-1 \n	l'ordonnance n° 2016-827 du 23 juin 2016
\nL. 533-14 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-15 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021
\nL. 533-16 à L. 533-18-1	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-18-2 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021
\nL. 533-19 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-20 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021
\nL. 533-21 \n	l'ordonnance n° 2007-544 du 12 avril 2007
\nL. 533-22 \n	la loi n° 2019-486 du 22 mai 2019 \n
L. 533-22-1	l'ordonnance n° 2023-1142 du 6 décembre 2023
\nL. 533-22-2 \n	la loi n° 2019-486 du 22 mai 2019
\nL. 533-22-2-1 et L. 533-22-2-2 \n	l'ordonnance n° 2017 1107 du 22 juin 2017
\nL. 533-22-4 \n	la loi n° 2019-1147 du 8 novembre 2019
\nL. 532-23 \n	l'ordonnance n° 2007-544 du 12 avril 2007
\nL. 533-24 et L. 533-24-1 \n	l'ordonnance n° 2016-827 du 23 juin 2016
\nL. 533-24-1-1 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021
\nL. 533-24-2 à L. 533-25	l'ordonnance n° 2021-796 du 23 juin 2021
\nL. 533-26 à l'exception du dernier alinéa de son II et L. 533-27 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-27-1 \n	l'ordonnance n° 2020-1635 du 21 décembre 2020 \n
\nL. 533-28 \n	l'ordonnance n° 2014-158 du 20 février 2014 \n
\nL. 533-29 à L. 533 29-2, L. 533-29-4 à L. 533-31-5	l'ordonnance n° 2021-796 du 23 juin 2021
\nL. 533-32 \n	l'ordonnance n° 2016-827 du 23 juin 2016
\nL. 533-33 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021

\n\n

II.-Pour l'application du I, les références aux unités mentionnées à l'article L. 229-7 du code de l'environnement ne sont pas applicables.

III.-Pour l'application des articles mentionnés dans le tableau ci-dessus :

2° A l'article L. 533-4 :

a) Le premier alinéa est ainsi rédigé :

b) Le quatrième alinéa est ainsi rédigé :

3° Le premier alinéa de l'article L. 533-9 est remplacé par les dispositions suivantes :

a) Les opérations d'initiés, définies comme l'usage par une personne, pour son propre compte ou pour le compte de tiers, d'informations privilégiées non encore rendues publiques ;

b) Les manipulations de marchés, définies comme le fait d'effectuer une transaction visant à donner des informations trompeuses ou fausses ;

7° A l'article L. 533-13-1 :

a) Les mots : \" au sens du chapitre III du titre Ier du livre III du code de la consommation \" sont supprimés ; µ

b) Les deux alinéas suivants sont ajoutés :

8° A l'article L. 533-18-2, les mots : \" par l'article 1er du règlement délégué \" sont remplacés par les mots : \" au sens de l'article 1er du règlement délégué \" ;

9° A l'article L. 533-22-1 :

b) Au second alinéa du II, les mots : \", en cohérence avec la stratégie nationale bas-carbone mentionnée à l'article L. 222-1 B du code de l'environnement \" sont supprimés ;

c) Au III, les mots : \" dont la publication est prévue par le règlement du Parlement européen et du Conseil mentionné au I du présent article \" sont supprimés ;

10° Au IV de l'article L. 533-22-2, les mots : \", par dérogation à l'article L. 1331-2 du code du travail, \" sont supprimés.

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L533-15", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657920", "@num": "L533-16", "#text": "Code monétaire et financier - art. L533-16", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032755559", "@num": "L533-18-2", "#text": "Code monétaire et financier - art. L533-18-2", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657949", "@num": "L533-19", "#text": "Code monétaire et financier - art. L533-19", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657713", "@num": "L533-2", "#text": "Code monétaire et financier - art. L533-2", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000028633749", "@num": "L533-2-1", "#text": "Code monétaire et financier - art. L533-2-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657960", "@num": "L533-20", "#text": "Code monétaire et financier - art. L533-20", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657978", "@num": "L533-21", "#text": "Code monétaire et financier - art. L533-21", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657987", "@num": "L533-22", "#text": "Code monétaire et financier - art. 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Articles applicables	Dans leur rédaction résultant de
\nL. 533-1 \n	l'ordonnance n° 2007-544 du 12 avril 2007 \n
\nL. 533-2 \n	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-2-1 à L. 533-2-3	l'ordonnance n° 2021-796 du 23 juin 2021 \n
\nL. 533-3 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-4 à l'exception de ses deuxième et cinquième alinéas	l'ordonnance n° 2021-796 du 23 juin 2021
\nL. 533-4-1 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-4-2 à l'exception de son IV à L. 533-4-9	l'ordonnance n° 2021-796 du 23 juin 2021
\nL. 533-5 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-6 \n	l'ordonnance n° 2007-544 du 12 avril 2007
\nL. 533-7 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-8 \n	l'ordonnance n° 2007-544 du 12 avril 2007
\nL. 533-9 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021 \n
\nL. 533-10 \n	l'ordonnance n° 2021-796 du 23 juin 2021
\nL. 533-10-1 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-10-2 à L. 533-10-8	l'ordonnance n° 2016-827 du 23 juin 2016 \n
\nL. 533-11 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-12 \n	la loi n° 2024-364 du 22 avril 2024 portant diverses dispositions d'adaptation au droit de l'Union européenne en matière d'économie, de finances, de transition écologique, de droit pénal, de droit social et en matière agricole
\nL. 533-12-1 à L. 533-12-4	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-12-4-1 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021
\nL. 533-12-5 et L. 533-12-6 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-12-7 \n	la loi n° 2016-1691 du 9 décembre 2016 \n
\nL. 533-13 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021
\nL. 533-13-1 \n	l'ordonnance n° 2016-827 du 23 juin 2016
\nL. 533-14 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-15 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021
\nL. 533-16 à L. 533-18-1	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-18-2 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021
\nL. 533-19 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-20 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021
\nL. 533-21 \n	l'ordonnance n° 2007-544 du 12 avril 2007
\nL. 533-22 \n	la loi n° 2019-486 du 22 mai 2019 \n
L. 533-22-1	l'ordonnance n° 2023-1142 du 6 décembre 2023
\nL. 533-22-2 \n	la loi n° 2019-486 du 22 mai 2019
\nL. 533-22-2-1 et L. 533-22-2-2 \n	l'ordonnance n° 2017 1107 du 22 juin 2017
\nL. 533-22-4 \n	la loi n° 2019-1147 du 8 novembre 2019
\nL. 532-23 \n	l'ordonnance n° 2007-544 du 12 avril 2007
\nL. 533-24 et L. 533-24-1 \n	l'ordonnance n° 2016-827 du 23 juin 2016
\nL. 533-24-1-1 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021
\nL. 533-24-2 à L. 533-25	l'ordonnance n° 2021-796 du 23 juin 2021
\nL. 533-26 à l'exception du dernier alinéa de son II et L. 533-27 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-27-1 \n	l'ordonnance n° 2020-1635 du 21 décembre 2020 \n
\nL. 533-28 \n	l'ordonnance n° 2014-158 du 20 février 2014 \n
\nL. 533-29 à L. 533-29-2, L. 533-29-4 à L. 533-31-5	l'ordonnance n° 2021-796 du 23 juin 2021
\nL. 533-32 \n	l'ordonnance n° 2016-827 du 23 juin 2016
\nL. 533-33 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021

\n\n
\n
\n

II.-Pour l'application du I, les références aux unités mentionnées à l'article L. 229-7 du code de l'environnement ne sont pas applicables.

\n
\n

III.-Pour l'application des articles mentionnés dans le tableau ci-dessus :

2° A l'article L. 533-4 :

a) Le premier alinéa est ainsi rédigé :

b) Le quatrième alinéa est ainsi rédigé :

3° Le premier alinéa de l'article L. 533-9 est remplacé par les dispositions suivantes :

a) Les opérations d'initiés, définies comme l'usage par une personne, pour son propre compte ou pour le compte de tiers, d'informations privilégiées non encore rendues publiques ;

b) Les manipulations de marchés, définies comme le fait d'effectuer une transaction visant à donner des informations trompeuses ou fausses ;

7° A l'article L. 533-13-1 :

a) Les mots : \" au sens du chapitre III du titre Ier du livre III du code de la consommation \" sont supprimés ;

b) Les deux alinéas suivants sont ajoutés :

8° A l'article L. 533-18-2, les mots : \" par l'article 1er du règlement délégué \" sont remplacés par les mots : \" au sens de l'article 1er du règlement délégué \".

9° A l'article L. 533-22-1 :

b) Au second alinéa du II, les mots : \", en cohérence avec la stratégie nationale bas-carbone mentionnée à l'article L. 222-1 B du code de l'environnement \" sont supprimés ;

10° Au IV de l'article L. 533-22-2, les mots : \", par dérogation à l'article L. 1331-2 du code du travail, \" sont supprimés.

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Articles applicables	Dans leur rédaction résultant de
\nL. 533-1 \n	l'ordonnance n° 2007-544 du 12 avril 2007 \n
\nL. 533-2 \n	l'ordonnance n° 2017-1107 du 22 juin 2017 \n
\nL. 533-2-1 à L. 533-2-3	l'ordonnance n° 2021-796 du 23 juin 2021 \n
\nL. 533-3,	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-4 à l'exception de ses deuxième et cinquième alinéas	l'ordonnance n° 2021-796 du 23 juin 2021
\nL. 533-4-1 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-4-2 à l'exception de son IV, à L. 533-4-9	l'ordonnance n° 2021-796 du 23 juin 2021
\nL. 533-5 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-6 \n	l'ordonnance n° 2007-544 du 12 avril 2007
\nL. 533-7 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-8 \n	l'ordonnance n° 2007-544 du 12 avril 2007
\nL. 533-9 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021 \n
\nL. 533-10 \n	l'ordonnance n° 2021-796 du 23 juin 2021
\nL. 533-10-1 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-10-2 à L. 533-10-8	l'ordonnance n° 2016-827 du 23 juin 2016 \n
\nL. 533-11 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-12 \n	la loi n° 2024-364 du 22 avril 2024 portant diverses dispositions d'adaptation au droit de l'Union européenne en matière d'économie, de finances, de transition écologique, de droit pénal, de droit social et en matière agricole
\nL. 533-12-1 à L. 533-12-4	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-12-4-1 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021
\nL. 533-12-5 et L. 533-12-6 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-12-7 \n	la loi n° 2016-1691 du 9 décembre 2016 \n
\nL. 533-13 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021
\nL. 533-13-1 \n	l'ordonnance n° 2016-827 du 23 juin 2016
\nL. 533-14 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-15 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021
\nL. 533-16 à L. 533-18-1	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-18-2 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021
\nL. 533-19 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-20 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021
\nL. 533-21 \n	l'ordonnance n° 2007-544 du 12 avril 2007
\nL. 533-22 \n	la loi n° 2019-486 du 22 mai 2019 \n
L. 533-22-1	l'ordonnance n° 2023-1142 du 6 décembre 2023
\nL. 533-22-2 \n	la loi n° 2019-486 du 22 mai 2019
\nL. 533-22-2-1 et L. 533-22-2-2 \n	l'ordonnance n° 2017 1107 du 22 juin 2017
\nL. 533-22-4 \n	la loi n° 2019-1147 du 8 novembre 2019
\nL. 532-23 \n	l'ordonnance n° 2007-544 du 12 avril 2007
\nL. 533-24 et à L. 533-24-1 \n	l'ordonnance n° 2016-827 du 23 juin 2016
\nL. 533-24-1-1 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021
\nL. 533-24-2 à L. 533-25	l'ordonnance n° 2021-796 du 23 juin 2021
\nL. 533-26 à l'exception du dernier alinéa de son II et L. 533-27 \n	l'ordonnance n° 2017-1107 du 22 juin 2017
\nL. 533-27-1 \n	l'ordonnance n° 2020-1635 du 21 décembre 2020 \n
\nL. 533-28 \n	l'ordonnance n° 2014-158 du 20 février 2014 \n
\nL. 533-29 à L. 533-29-2, L. 533-29-4 à L. 533-31-5	l'ordonnance n° 2021-796 du 23 juin 2021
\nL. 533-32 \n	l'ordonnance n° 2016-827 du 23 juin 2016
\nL. 533-33 \n	l'ordonnance n° 2021-1652 du 15 décembre 2021

\n\n
\n
\n

II.-Pour l'application du I, les références aux unités mentionnées à l'article L. 229-7 du code de l'environnement ne sont pas applicables.

\n
\n

III.-Pour l'application des articles mentionnés dans le tableau ci-dessus :

2° A l'article L. 533-4 :

a) Le premier alinéa est ainsi rédigé :

b) Le quatrième alinéa est ainsi rédigé :

\" L'Autorité de contrôle prudentiel et de résolution peut aussi recourir à d'autres méthodes garantissant une surveillance consolidée équivalente. Elle peut notamment exiger la constitution d'une compagnie financière holding ou d'une compagnie holding d'investissement ayant son siège social en France. \" ;

3° Le premier alinéa de l'article L. 533-9 est remplacé par les dispositions suivantes :

a) Les opérations d'initiés, définies comme l'usage par une personne, pour son propre compte ou pour le compte de tiers, d'informations privilégiées non encore rendues publiques ;

b) Les manipulations de marchés, définies comme le fait d'effectuer une transaction visant à donner des informations trompeuses ou fausses ;

7° A l'article L. 533-13-1 :

a) Les mots : \" au sens du chapitre III du titre Ier du livre III du code de la consommation \" sont supprimés ;

b) Les deux alinéas suivants sont ajoutés :

8° A l'article L. 533-18-2, les mots : \" par l'article 1er du règlement délégué \" sont remplacés par les mots : \" au sens de l'article 1er du règlement délégué \" ;

9° A l'article L. 533-22-1 :

a) Au second alinéa du II, les mots : \", en cohérence avec la stratégie nationale bas-carbone mentionnée à l'article L. 222-1 B du code de l'environnement \" sont supprimés ;

10° Au IV de l'article L. 533-22-2, les mots : \", par dérogation à l'article L. 1331-2 du code du travail, \" sont supprimés.

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"LEGITEXT000006072026", "id": "LEGIARTI000006657813", "typelien": "CITATION" }, { "article_id": "LEGIARTI000026047623", "cible": false, "cidtexte": "LEGITEXT000006072026", "id": "LEGIARTI000006657813", "typelien": "CITATION" }, { "article_id": "LEGIARTI000028421888", "cible": false, "cidtexte": "LEGITEXT000006072026", "id": "LEGIARTI000006657813", "typelien": "CITATION" }, { "article_id": "LEGIARTI000036862037", "cible": false, "cidtexte": "LEGITEXT000006072026", "id": "LEGIARTI000006657813", "typelien": "CITATION" }, { "article_id": "LEGIARTI000032786587", "cible": false, "cidtexte": "LEGITEXT000006072026", "id": "LEGIARTI000006657813", "typelien": "CITATION" } ], "texte_version": { "JORFTEXT000000193847": { "SM": { "CONTENU": "TITRE I: LA PRESTATION DE SERVICES D'INVESTISSEMENT.
CHAP. I: LES SERVICES D'INVESTISSEMENTS.
SECTION 1: LES INSTRUMENTS FINANCIERS (ART. 1 A 3).
SECTION 2: LES SERVICES D'INVESTISSEMENT ET LES SERVICES CONNEXES (ART. 4 ET 5).
CHAP. II: LES PRESTATIONS DE SERVICES D'INVESTISSEMENT.
SECTION 1: LES DIFFERENTS PRESTATAIRES (ART. 6 A 9).
SECTION 2: AGREMENT (ART. 10 A 20).MODIFICATION DE LA LOI 8446 DU 24-01-1984 ET DE LA LOI 89531 DU 02-08-1989.
SECTION 3: INTERDICTIONS (ART. 21 A 23).APPLICATION DES LOIS 66537 DU 24-07-1988,661010 DU 28-12-1966.
SECTION 4: ORGANISATION DE LA PROFESSION (ART. 24).MODIFICATION DE LA LOI 8446 PRECITEE.
SECTION 5: CHAMP D'APPLICATION (ART. 25 ET 26).
TITRE II: LES MARCHES FINANCIERS.
CHAP. I: LE CONSEIL DES MARCHES FINANCIERS.
SECTION 1: ORGANISATION (ART. 27 A 31).
SECTION 2: ATTRIBUTIONS RELATIVES A LA REGLEMENTATION (ART. 32 A 34).APPLICATION DE LA LOI 66537 DU 24-07-1966.
SECTION 3: AUTRES ATTRIBUTIONS (ART. 35 A 38).
SECTION 4: VOIES DE RECOURS (ART. 39).
CHAP. II: LES MARCHES REGLEMENTES.
SECTION 1: LES ENTREPRISES DE MARCHE (ART. 40).
SECTION 2: DISPOSITIONS GENERALES AUX MARCHES REGLEMENTES (ART. 41 A 45).
SECTION 3: DISPOSITIONS APPLICABLES AUX MARCHES A TERME (ART. 46).
CHAP. III: DISPOSITIFS DE COMPENSATION (ART. 47 A 53).2 SECTIONS.
APPLICATION DES LOIS 8598 DU 25-01-1985 ET 84148 DU 01-03-1984,MODIFICATION DU CODE GENERAL DES IMPOTS.
TITRE III: LES OBLIGATIONS ET LE CONTROLE DES PRESTATAIRES DE SERVICES D'INVESTISSEMENT.
CHAP. I: OBLIGATION DES PRESTATAIRES (ART. 54 A 66).3 SECTIONS.APPLICATION ET MODIFICATION DE LA LOI 8446 PRECITEE ET MODIFICATION DE LA LOI 91716 DU 26-07-1991.
CHAP. II: LE CONTROLE DES PRESTATAIRES (ART. 67 A 72).3 SECTIONS.MODIFICATION DE LA LOI 8446 PRECITEE.
TITRE IV: LIBRE ETABLISSEMENT ET LIBRE PRESTATION DE SERVICES SUR LE TERRITOIRE DES ETATS MEMBRES DE LA COMMUNAUTE EUROPEENNE (ART. 73 A 79).4 CHAPITRES.
TRANSPOSITION DE LA DIRECTIVE DU CONSEIL 9322 CE DU 10-05-1993.
TITRE V: COMMUNICATION D'INFORMATIONS (ART. 80 ET 81).
TITRE VI: SANCTIONS PENALES (ART. 82 A 88).
TITRE VII: DISPOSITIONS DIVERSES (ART. 89 A 106).4 CHAPITRES.
MODIFICATION DE L'ORDONNANCE 67833 DU 28-09-1967 DES LOIS 881201 DU 23-12-1988,DU 28-03-1885,851321 DU 14-12-1985,8446 PRECITEE,66537 PRECITEE,811160 DU 30-12-1981,91716 DU 26-07-1991,87416 DU 17-06-1987,94665 DU 04-08-1994.
ABROGATION DE LA LOI 8870 DU 22-01-1988 SUR LES BOURSES DES VALEURS." }, "TP": { "CONTENU": "(1) Loi no 96-597.
- Directive communautaire :
Directive du Conseil 93/22 du 10 mai 1993 concernant les services d'investissement dans le domaine des valeurs mobilières.
- Travaux préparatoires :
Sénat :
Projet de loi no 157 (1995-1996) ;
Rapport de M. Philippe Marini, au nom de la commission des finances, no 254 (1995-1996) ;
Avis de la commission des lois (M. Charles Jolibois), no 264 (1995-1996) ;
Discussion les 13 et 14 mars 1996 ;
Adoption le 14 mars 1996.
Assemblée nationale :
Projet de loi, adopté par le Sénat, no 2650 ;
Rapport de M. Jean-Jacques Jegou, au nom de la commission des finances, no 2692 ;
Discussion les 16 et 17 avril 1996 ;
Adoption le 17 avril 1996.
Sénat :
Projet de loi, modifié par l'Assemblée nationale, no 318 (1995-1996) ;
Rapport de M. Philippe Marini, au nom de la commission des finances, no 326 (1995-1996) ;
Avis de la commission des lois (M. Charles Jolibois), no 335 (1995-1996) ;
Discussion et adoption le 2 mai 1996.
Assemblée nationale :
Projet de loi, adopté avec modifications par le Sénat en deuxième lecture,
no 2756 ;
Rapport de M. Jean-Jacques Jegou, au nom de la commission des finances, no 2800 ;
Discussion et adoption le 29 mai 1996.
Sénat :
Projet de loi, modifié par l'Assemblée nationale en deuxième lecture, no 393 (1995-1996) ;
Rapport de M. Philippe Marini, au nom de la commission mixte paritaire, no 419 (1995-1996) ;
Discussion et adoption le 18 juin 1996.
Assemblée nationale :
Rapport de M. Jean-Jacques Jegou, au nom de la commission mixte paritaire,
no 2874 ;
Discussion et adoption le 21 juin 1996.
" }, "ABRO": { "CONTENU": "Texte partiellement incorporé dans le CGI: article 10-I, et partiellement codifié dans le nouveau code monétaire et financier (ordonnance 2000-1223): articles premier à 5, 6 à 9, 11 à 15, 16 (I et II), 18, 19, 21 à 23, 24 (I), 25 à 33, 35 à 39, 40 à 53A, 54, 57 à 61, 62 à 62-3, 63 à 71 (le V est abrogé à l'entrée en vigueur de la partie réglementaire), 73 à 88, 97 (VII), 106, 107." }, "META": { "META_SPEC": { "META_TEXTE_VERSION": { "LIENS": { "LIEN": [ { "@id": "JORFTEXT000000691946", "#text": "Loi du 28 mars 1885", "@sens": "source", "@cidtexte": "JORFTEXT000000691946", "@typelien": "MODIFIE", "@naturetexte": "LOI", "@datesignatexte": "1885-03-28" }, { "@id": "JORFTEXT000000887521", "#text": "Ordonnance n° 45-679 du 13 avril 1945", "@sens": "source", "@cidtexte": "JORFTEXT000000887521", "@numtexte": "45-679", "@typelien": "MODIFIE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "1945-04-13" }, { "@id": "LEGIARTI000006277913", "@num": "191-1", "#text": "Loi n°66-537 du 24 juillet 1966 - art. 191-1 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000692245", "@numtexte": "66-537", "@typelien": "MODIFICATION", "@naturetexte": "LOI", "@datesignatexte": "1966-07-24" }, { "@id": "JORFTEXT000000692245", "#text": "LOI n° 66-537 du 24 juillet 1966", "@sens": "source", "@cidtexte": "JORFTEXT000000692245", "@numtexte": "66-537", "@typelien": "MODIFIE", "@naturetexte": "LOI", "@datesignatexte": "1966-07-24" }, { "@id": "JORFTEXT000000698676", "#text": "Ordonnance n°67-833 du 28 septembre 1967", "@sens": "source", "@cidtexte": "JORFTEXT000000698676", "@numtexte": "67-833", "@typelien": "MODIFIE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "1967-09-28" }, { "@id": "JORFTEXT000000691996", "#text": "Loi n°83-1 du 3 janvier 1983", "@sens": "source", "@cidtexte": "JORFTEXT000000691996", "@numtexte": "83-1", "@typelien": "MODIFIE", "@naturetexte": "LOI", "@datesignatexte": "1983-01-03" }, { "@id": "LEGIARTI000006705335", "@num": "100-2", "#text": "Loi n°84-46 du 24 janvier 1984 - art. 100-2 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000504724", "@numtexte": "84-46", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "1984-01-24" }, { "@id": "LEGIARTI000006703901", "@num": "25", "#text": "Loi n°84-46 du 24 janvier 1984 - art. 25 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000504724", "@numtexte": "84-46", "@typelien": "MODIFICATION", "@naturetexte": "LOI", "@datesignatexte": "1984-01-24" }, { "@id": "LEGIARTI000006704039", "@num": "30", "#text": "Loi n°84-46 du 24 janvier 1984 - art. 30 (M)", "@sens": "cible", "@cidtexte": "JORFTEXT000000504724", "@numtexte": "84-46", "@typelien": "MODIFICATION", "@naturetexte": "LOI", "@datesignatexte": "1984-01-24" }, { "@id": "LEGIARTI000006704075", "@num": "31", "#text": "Loi n°84-46 du 24 janvier 1984 - art. 31 (M)", "@sens": "cible", "@cidtexte": "JORFTEXT000000504724", "@numtexte": "84-46", "@typelien": "MODIFICATION", "@naturetexte": "LOI", "@datesignatexte": "1984-01-24" }, { "@id": "LEGIARTI000006704250", "@num": "46", "#text": "Loi n°84-46 du 24 janvier 1984 - art. 46 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000504724", "@numtexte": "84-46", "@typelien": "MODIFICATION", "@naturetexte": "LOI", "@datesignatexte": "1984-01-24" }, { "@id": "LEGIARTI000006705176", "@num": "93-1", "#text": "Loi n°84-46 du 24 janvier 1984 - art. 93-1 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000504724", "@numtexte": "84-46", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "1984-01-24" }, { "@id": "JORFTEXT000000504724", "#text": "LOI n° 84-46 du 24 janvier 1984", "@sens": "source", "@cidtexte": "JORFTEXT000000504724", "@numtexte": "84-46", "@typelien": "MODIFIE", "@naturetexte": "LOI", "@datesignatexte": "1984-01-24" }, { "@id": "JORFTEXT000000504724", "#text": "LOI n° 84-46 du 24 janvier 1984", "@sens": "source", "@cidtexte": "JORFTEXT000000504724", "@numtexte": "84-46", "@typelien": "APPLICATION", "@naturetexte": "LOI", "@datesignatexte": "1984-01-24" }, { "@id": "LEGIARTI000006734102", "@num": "12-3", "#text": "Décret n°84-708 du 24 juillet 1984 - art. 12-3 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000689707", "@numtexte": "84-708", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "1984-07-24" }, { "@id": "LEGIARTI000006734459", "@num": "6-1", "#text": "Décret n°84-709 du 24 juillet 1984 - art. 6-1 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000872246", "@numtexte": "84-709", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "1984-07-24" }, { "@id": "LEGIARTI000006780999", "@num": "1", "#text": "Décret n°85-1074 du 9 octobre 1985 - art. 1 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000324014", "@numtexte": "85-1074", "@typelien": "MODIFICATION", "@naturetexte": "DECRET", "@datesignatexte": "1985-10-09" }, { "@id": "JORFTEXT000000692975", "#text": "Loi n°85-1321 du 14 décembre 1985", "@sens": "source", "@cidtexte": "JORFTEXT000000692975", "@numtexte": "85-1321", "@typelien": "MODIFIE", "@naturetexte": "LOI", "@datesignatexte": "1985-12-14" }, { "@id": "LEGIARTI000006707601", "@num": "31", "#text": "Loi n°87-416 du 17 juin 1987 - art. 31 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000508808", "@numtexte": "87-416", "@typelien": "MODIFICATION", "@naturetexte": "LOI", "@datesignatexte": "1987-06-17" }, { "@id": "JORFTEXT000000508808", "#text": "Loi n°87-416 du 17 juin 1987", "@sens": "source", "@cidtexte": "JORFTEXT000000508808", "@numtexte": "87-416", "@typelien": "MODIFIE", "@naturetexte": "LOI", "@datesignatexte": "1987-06-17" }, { "@id": "JORFTEXT000000684072", "#text": "Loi n°88-70 du 22 janvier 1988", "@sens": "source", "@cidtexte": "JORFTEXT000000684072", "@nortexte": "ECOX8700048L", "@numtexte": "88-70", "@typelien": "ABROGE", "@naturetexte": "LOI", "@datesignatexte": "1988-01-22" }, { "@id": "LEGIARTI000006314198", "@num": "12", "#text": "Loi n°88-1201 du 23 décembre 1988 - art. 12 (M)", "@sens": "cible", "@cidtexte": "JORFTEXT000000509065", "@nortexte": "ECOX8800123L", "@numtexte": "88-1201", "@typelien": "MODIFICATION", "@naturetexte": "LOI", "@datesignatexte": "1988-12-23" }, { "@id": "JORFTEXT000000509065", "#text": "Loi n° 88-1201 du 23 décembre 1988", "@sens": "source", "@cidtexte": "JORFTEXT000000509065", "@nortexte": "ECOX8800123L", "@numtexte": "88-1201", "@typelien": "MODIFIE", "@naturetexte": "LOI", "@datesignatexte": "1988-12-23" }, { "@id": "JORFTEXT000000322093", "#text": "Loi n° 89-531 du 2 août 1989", "@sens": "source", "@cidtexte": "JORFTEXT000000322093", "@nortexte": "ECOX8900024L", "@numtexte": "89-531", "@typelien": "MODIFIE", "@naturetexte": "LOI", "@datesignatexte": "1989-08-02" }, { "@id": "LEGIARTI000006780497", "@num": "1", "#text": "Décret n°90-256 du 21 mars 1990 - art. 1 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000167694", "@nortexte": "ECOT9020140D", "@numtexte": "90-256", "@typelien": "MODIFICATION", "@naturetexte": "DECRET", "@datesignatexte": "1990-03-21" }, { "@id": "LEGIARTI000006695414", "@num": "1", "#text": "Loi n°90-614 du 12 juillet 1990 - art. 1 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000350808", "@nortexte": "ECOX9000077L", "@numtexte": "90-614", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "1990-07-12" }, { "@id": "LEGIARTI000006387760", "@num": "1", "#text": "Décret n°91-427 du 10 mai 1991 - art. 1 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000536077", "@nortexte": "DOMP9100013D", "@numtexte": "91-427", "@typelien": "MODIFICATION", "@naturetexte": "DECRET", "@datesignatexte": "1991-05-10" }, { "@id": "JORFTEXT000000355163", "#text": "Loi n°91-716 du 26 juillet 1991", "@sens": "source", "@cidtexte": "JORFTEXT000000355163", "@nortexte": "ECOX9100084L", "@numtexte": "91-716", "@typelien": "MODIFIE", "@naturetexte": "LOI", "@datesignatexte": "1991-07-26" }, { "@id": "LEGIARTI000006926762", "@num": "6", "#text": "Décret n°93-188 du 9 février 1993 - art. 6 (M)", "@sens": "cible", "@cidtexte": "JORFTEXT000000543226", "@nortexte": "AGRS9202169D", "@numtexte": "93-188", "@typelien": "MODIFICATION", "@naturetexte": "DECRET", "@datesignatexte": "1993-02-09" }, { "@id": "JORFTEXT000000878795", "#text": "Directive 93/22/CEE du Conseil, du 10 mai 1993", "@sens": "source", "@cidtexte": "JORFTEXT000000878795", "@nortexte": "31993L0022", "@numtexte": "93-22", "@typelien": "APPLICATION", "@naturetexte": "DIRECTIVE_EURO", "@datesignatexte": "1993-05-10" }, { "@id": "LEGIARTI000006388960", "@num": "ANNEXES", "#text": "Arrêté du 22 juin 1994 - art. ANNEXES (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000547992", "@nortexte": "DOMP9400031A", "@typelien": "MODIFICATION", "@naturetexte": "ARRETE", "@datesignatexte": "1994-06-22" }, { "@id": "LEGIARTI000044990491", "@num": "5", "#text": "Loi n° 94-665 du 4 août 1994 - art. 5 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000349929", "@nortexte": "MCCX9400007L", "@numtexte": "94-665", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "1994-08-04" }, { "@id": "LEGIARTI000006421214", "@num": "5", "#text": "Loi n°94-665 du 4 août 1994 - art. 5 (M)", "@sens": "cible", "@cidtexte": "JORFTEXT000000349929", "@nortexte": "MCCX9400007L", "@numtexte": "94-665", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "1994-08-04" }, { "@id": "JORFTEXT000000349929", "#text": "Loi n° 94-665 du 4 août 1994", "@sens": "source", "@cidtexte": "JORFTEXT000000349929", "@nortexte": "MCCX9400007L", "@numtexte": "94-665", "@typelien": "MODIFIE", "@naturetexte": "LOI", "@datesignatexte": "1994-08-04" }, { "@id": "LEGIARTI000006585464", "@num": "4", "#text": "Décret n°95-660 du 9 mai 1995 - art. 4 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000719062", "@nortexte": "JUSC9520264D", "@numtexte": "95-660", "@typelien": "MODIFICATION", "@naturetexte": "DECRET", "@datesignatexte": "1995-05-09" }, { "@id": "JORFTEXT000000333365", "#text": "Directive 96/22/CE du Conseil du 29 avril 1996", "@sens": "source", "@cidtexte": "JORFTEXT000000333365", "@nortexte": "396L0022", "@numtexte": "96-22", "@typelien": "APPLICATION", "@naturetexte": "DIRECTIVE_EURO", "@datesignatexte": "1996-04-29" }, { "@id": "LEGITEXT000005621300", "#text": "Loi n°96-597 du 2 juillet 1996", "@sens": "cible", "@cidtexte": "JORFTEXT000000193847", "@nortexte": "ECOX9500164L", "@numtexte": "96-597", "@typelien": "SPEC_APPLI", "@naturetexte": "LOI", "@datesignatexte": "1996-07-02" }, { "@id": "LEGIARTI000006709123", "@num": "1", "#text": "Loi n°96-597 du 2 juillet 1996 - art. 1 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000193847", "@nortexte": "ECOX9500164L", "@numtexte": "96-597", "@typelien": "SPEC_APPLI", "@naturetexte": "LOI", "@datesignatexte": "1996-07-02" }, { "@id": "LEGIARTI000006710624", "@num": "101", "#text": "Loi n°96-597 du 2 juillet 1996 - art. 101 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000193847", "@nortexte": "ECOX9500164L", "@numtexte": "96-597", "@typelien": "SPEC_APPLI", "@naturetexte": "LOI", "@datesignatexte": "1996-07-02" }, { "@id": "LEGIARTI000006710711", "@num": "106", "#text": "Loi n°96-597 du 2 juillet 1996 - art. 106 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000193847", "@nortexte": "ECOX9500164L", "@numtexte": "96-597", "@typelien": "SPEC_APPLI", "@naturetexte": "LOI", "@datesignatexte": "1996-07-02" }, { "@id": "LEGIARTI000006710712", "@num": "107", "#text": "Loi n°96-597 du 2 juillet 1996 - art. 107 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000193847", "@nortexte": "ECOX9500164L", "@numtexte": "96-597", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "1996-07-02" }, { "@id": "LEGIARTI000006709259", "@num": "11", "#text": "Loi n°96-597 du 2 juillet 1996 - art. 11 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000193847", "@nortexte": "ECOX9500164L", "@numtexte": "96-597", "@typelien": "SPEC_APPLI", "@naturetexte": "LOI", "@datesignatexte": "1996-07-02" }, { "@id": "LEGIARTI000006709261", "@num": "12", "#text": "Loi n°96-597 du 2 juillet 1996 - art. 12 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000193847", "@nortexte": "ECOX9500164L", "@numtexte": "96-597", "@typelien": "SPEC_APPLI", "@naturetexte": "LOI", "@datesignatexte": "1996-07-02" }, { "@id": "LEGIARTI000006709260", "@num": "12", "#text": "Loi n°96-597 du 2 juillet 1996 - art. 12 (M)", "@sens": "cible", "@cidtexte": "JORFTEXT000000193847", "@nortexte": "ECOX9500164L", "@numtexte": "96-597", "@typelien": "SPEC_APPLI", "@naturetexte": "LOI", "@datesignatexte": "1996-07-02" }, { "@id": "LEGIARTI000006709265", "@num": "13", "#text": "Loi n°96-597 du 2 juillet 1996 - art. 13 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000193847", "@nortexte": "ECOX9500164L", "@numtexte": "96-597", "@typelien": "SPEC_APPLI", "@naturetexte": "LOI", "@datesignatexte": "1996-07-02" }, { "@id": "LEGIARTI000006709276", "@num": "14", "#text": "Loi n°96-597 du 2 juillet 1996 - art. 14 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000193847", "@nortexte": "ECOX9500164L", "@numtexte": "96-597", "@typelien": "SPEC_APPLI", "@naturetexte": "LOI", "@datesignatexte": "1996-07-02" }, { "@id": "LEGIARTI000006709284", "@num": "15", "#text": "Loi n°96-597 du 2 juillet 1996 - art. 15 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000193847", "@nortexte": "ECOX9500164L", "@numtexte": "96-597", "@typelien": "SPEC_APPLI", "@naturetexte": "LOI", "@datesignatexte": "1996-07-02" }, { "@id": "LEGIARTI000006709283", "@num": "15", "#text": "Loi n°96-597 du 2 juillet 1996 - art. 15 (M)", "@sens": "cible", "@cidtexte": "JORFTEXT000000193847", "@nortexte": "ECOX9500164L", "@numtexte": "96-597", "@typelien": "SPEC_APPLI", "@naturetexte": "LOI", "@datesignatexte": "1996-07-02" }, { "@id": "LEGIARTI000006709293", "@num": "16", "#text": "Loi n°96-597 du 2 juillet 1996 - art. 16 (M)", "@sens": "cible", "@cidtexte": "JORFTEXT000000193847", "@nortexte": "ECOX9500164L", "@numtexte": "96-597", "@typelien": "SPEC_APPLI", "@naturetexte": "LOI", "@datesignatexte": "1996-07-02" }, { "@id": "LEGIARTI000006709311", "@num": "18", "#text": "Loi n°96-597 du 2 juillet 1996 - art. 18 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000193847", "@nortexte": "ECOX9500164L", "@numtexte": "96-597", "@typelien": "SPEC_APPLI", "@naturetexte": "LOI", "@datesignatexte": "1996-07-02" }, { "@id": "LEGIARTI000006709321", "@num": "19", "#text": "Loi n°96-597 du 2 juillet 1996 - art. 19 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000193847", "@nortexte": "ECOX9500164L", "@numtexte": "96-597", "@typelien": "SPEC_APPLI", "@naturetexte": "LOI", "@datesignatexte": "1996-07-02" }, { "@id": "LEGIARTI000006709131", "@num": "2", "#text": "Loi n°96-597 du 2 juillet 1996 - art. 2 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000193847", "@nortexte": "ECOX9500164L", "@numtexte": "96-597", "@typelien": "SPEC_APPLI", "@naturetexte": "LOI", "@datesignatexte": "1996-07-02" }, { "@id": "LEGIARTI000006709349", "@num": "21", "#text": "Loi n°96-597 du 2 juillet 1996 - art. 21 (Ab)", "@sens"

Article L533-10 AUTONOME MODIFIE, en vigueur du 01/01/2001 au 01/11/2007 (Code monétaire et financier)