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Showing 18511860 of 56564 articles for Art. 1447-0 and 1478

French Monetary and Financial CodeIn force
Subsection 3: Remuneration policy and practices

Article L533-30-13

…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…

AI translation · Updated 7 Nov 2023Open Article
French Monetary and Financial CodeIn force
Chapter VI: Single registration

Article L546-4

…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…

AI translation · Updated 7 Nov 2023Open Article
French Monetary and Financial CodeIn force
Subsection 4: Specialist committees

Article L533-31-1

…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…

AI translation · Updated 7 Nov 2023Open Article
French Monetary and Financial CodeIn force
Subsection 1: Conditions for taking up the activity of financial investment adviser

Article L541-2

…o manage or administer legal persons authorised as financial investment advisers, must meet the age and good repute requirements set by decree, as well as the professional competence requirements set…

AI translation · Updated 7 Nov 2023Open Article
French Monetary and Financial CodeIn force
Section 3: Rules of good conduct

Article L541-9

…1-4 must comply with the rules of conduct referred to in Article L. 541-8-1, which they may specify and supplement.

AI translation · Updated 7 Nov 2023Open Article
French Monetary and Financial CodeIn force
Chapter V: Tied agents

Article L545-1

…ces of tied agents, within the meaning of 29(1) of Article 4 of Directive 2014/65/EU of 15 May 2014 and who may be natural or legal persons, to provide the following investment services, for which it…

AI translation · Updated 7 Nov 2023Open Article
French Monetary and Financial CodeIn force
Chapter V: Tied agents

Article L545-6

An investment service provider that uses a tied agent shall take appropriate steps to ensure that the activities of the tied agent outside the scope of this Chapter do not adversely affect the activit…

AI translation · Updated 7 Nov 2023Open Article
French Monetary and Financial CodeIn force
Chapter IX: Data communication service providers

Article L549-2

For the purposes of Article 27 of Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Regulation (EU) No 648/2012,…

AI translation · Updated 7 Nov 2023Open Article
French Monetary and Financial CodeIn force
Chapter I: Miscellaneous goods intermediaries

Article L551-1

…ge the property themselves or where the contract offers them the option of repossession or exchange and the revaluation of the capital invested; 2° Any person who collects funds for this purpose; 3° A…

AI translation · Updated 7 Nov 2023Open Article
French Monetary and Financial CodeIn force
Subsection 3: Remuneration policy and practices

Article L533-30-4

The remuneration of senior executives in charge of risk management and compliance is directly supervised by the remuneration committee referred to in article L. 533-31-4 or, if no such committee has b…

AI translation · Updated 7 Nov 2023Open Article
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Mariela Petrova

Mariela Petrova

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Toque #C2396

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