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Showing 7631–7640 of 59015 articles for “Art. 10 and 11”
Investment services providers other than portfolio management companies shall notify the Autorité de contrôle prudentiel et de résolution of significant intra-group transactions in accordance with the…
I.-The Autorité de contrôle prudentiel et de résolution may require a Class 2 or Class 3 investment firm to take, at an early stage, any measures necessary to address any of the following issues: 1° T…
…ient whether it is possible to purchase the different elements of the offer or agreement separately and shall provide separate evidence of the costs and charges associated with each element.Where the…
Sub-sections 2, 3 and 4 of this section do not apply to class 3 investment firms. Where a class 2 investment firm finds that it qualifies as a class 3 investment firm, subsections 2, 3 and 4 cease to…
…non-monetary benefits that are likely to improve the quality of the service provided to a customer and whose size and nature are such that they cannot be considered to interfere with the service prov…
…ions with eligible counterparties without complying with the obligations set out in Articles L. 533-11 to L. 533-14, with the exception of III bis of article L. 533-12, articles L. 533-15 and L. 533-1…
The investment services providers and persons mentioned in article L. 421-17 are required to inform investors, before entering into business relations with them, of the existence of a compensation sch…
…ive rise to restitution where the financial results of the investment firm are mediocre or negative and in particular where the person concerned has disregarded the rules laid down by the investment f…
…of this chapter, with the exception of article L. 546-3, are punishable by two years' imprisonment and a fine of €6,000 or one of these two penalties only. Any person who disregards one of the prohib…
…he risk committee set up pursuant to the provisions of Article L. 533-31 have the knowledge, skills and expertise to enable them to understand, manage and monitor the investment firm's risk strategy a…
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