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Showing 7651–7660 of 59015 articles for “Art. 10 and 11”
Financial investment advisers must:1° Act honestly, loyally and professionally, in the best interests of their clients;2° Exercise their activity, within the limits authorised by their status, with du…
The directors of a company must refrain from taking any initiative with the financial analysts whose services they pay for which would have the purpose or effect of favouring their own interests, or t…
Any interested party may apply to the President of the Court hearing an application for interim measures to order a voting consultant to make public the information referred to in article L. 544-4, su…
Each tied agent acts under a mandate given by a single investment services provider. The investment services provider remains fully and unconditionally liable to third parties for acts carried out in…
…of investment firms makes a distinction, based on clear criteria, between basic fixed remuneration and variable remuneration. Basic fixed remuneration primarily reflects professional experience in re…
…equivalent supervisory functions on matters concerning the investment firm's overall risk strategy and overall risk appetite, both current and future. It assists the board of directors, the superviso…
…d within them. These periodic reports shall include detailed information on the price, costs, speed and likelihood of execution for the various financial instruments.The obligations mentioned in this…
…shall inform the association to which they belong of any change in the information concerning them and of any event which may have consequences for their membership as financial investment advisers.
Financial investment advisers are treated in the same way as investment service providers other than portfolio management companies for the purposes of Article L. 533-12-7.
…of European venture capital funds covered by Regulation (EU) No 345/2013 of the European Parliament and of the Council of 17 April 2013 on European venture capital funds and managers of European socia…
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