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Showing 5111–5120 of 16651 articles for “Art. -30 et -40”
…t on its application and, where applicable, a list of the provisions from which he has deviated, together with the reasons and the measures taken in substitution, as referred to in the first paragraph…
Pursuant to I of Article L. 546-1, an agreement is entered into between the body referred to inArticle L. 512-1 of the Insurance Code and the Autorité des marchés financiers. This agreement shall stip…
…e granted as part of the authorisation procedure as an investment service provider other than an asset management company. Where the applicant has been authorised as an investment service provider oth…
Investment service providers other than portfolio management companies may, on their own initiative or at the request of a client, treat as a non-professional client, either generally or in respect of…
By way of derogation from this section, class 1 bis investment firms are subject to the provisions of articles R. 511-17 to R. 511-26.
Investment firms shall require the instruments referred to in Article L. 533-30-11 to be held for a minimum period defined under the conditions set out in Article L. 533-30-1 so as to align the incent…
…L. 541-7 and article L. 548-4, the body referred to in I of article R. 546-1 shall request the bulletin no. 2 of the criminal record of the person concerned from the automated national criminal recor…
…finance company, a payment institution or an investment services provider, the content of which is set by order of the Minister for the Economy.A certificate signed by the person responsible for the t…
…of Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments has been waived as a derogation in accordance with Article 4(1)(a) or (…
…ook. The persons referred to in 1° and 2° of Article L. 54-10-3 shall provide evidence of their competence in the form of a curriculum vitae; 4° For the services referred to in 1° and 2° of Article L.…
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