Article R549-1
…licant has been authorised as an investment service provider other than an asset management company and is applying for authorisation to provide one or more data communication services within the mean…
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Showing 9831–9840 of 59015 articles for “Art. 10 and 11”
…licant has been authorised as an investment service provider other than an asset management company and is applying for authorisation to provide one or more data communication services within the mean…
…ation 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…
…pose of verifying the good repute conditions referred to in articles L. 519-3-3, L. 541-2, 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…
…nce, economics or business sciences, management sciences, physical sciences, mathematics or banking and financial law, registered in the national directory of professional certifications mentioned in…
…e information referred to in Article 3(1) 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 derogatio…
Investment firms, other than portfolio management companies, publish in their annual report the return on their assets, calculated by dividing their net profit by their balance sheet total.
Investment service providers other than portfolio management companies may, on their own initiative or at the request of a client, treat as a professional or non-professional client, either generally…
…ed to in II of Article L. 533-22 include the following information: 1° The most significant medium- and long-term risks associated with the investments made under the contract; 2° The composition, tur…
…ruments referred to in the second paragraph of article R. 533-2 are those referred to in 2, 3, 4, 7 and 8 of I of article D. 211-1 A.
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