Article R511-2-1
…s the case may be, shall decide on an application for the authorisation provided for in Article L. 511-10 within six months of receipt.Where the application is incomplete, the AMF or the European Cent…
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Showing 5071–5080 of 68982 articles for “Art. 1 and 2”
…s the case may be, shall decide on an application for the authorisation provided for in Article L. 511-10 within six months of receipt.Where the application is incomplete, the AMF or the European Cent…
Within credit institutions and finance companies, the members of the Board of Directors or the Supervisory Board, on the one hand, and the members of the Management Board or any other body exercising…
…tion nationale des Banques populaires in conjunction with the central body of the Caisses d'épargne and Banques populaires is taken into account in the application of the provisions of articles L. 612…
Where the intermediary provides an advisory service as referred to in Article L. 519-1-1, he shall gather the information he needs about his customer's personal and financial situation, preferences an…
…of the information that it deems necessary to carry out the assessment provided for in Article R. 532-15-1 and that must be communicated to it as part of the notification provided for in I of Article…
Articles R. 533-18-3 and R. 533-18-4 apply to portfolio management companies.
…ther body exercising equivalent supervisory functions shall have adequate access to the information and documents necessary to supervise and monitor management decisions.
For the application of Article L. 533-30-13, the conduct likely to result in the reduction or restitution, in whole or in part, of the variable remuneration shall be defined by the investment firms, t…
For the purposes of II of Article L. 533-15, the following conditions must be met:1° The client has agreed to receive the suitability statement without undue delay after the conclusion of the transact…
For the application of Articles L. 561-7, L. 561-20, 3° of Article R. 561-5-2, 2° of Article R. 561-5-3 and Article R. 561-9, the persons mentioned in Article L. 561-2 concerned shall assess the level…
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