Article L541-3
All financial investment advisers must be able to provide evidence at all times of the existence of an insurance policy covering them against the financial consequences of their professional civil lia…
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Showing 2091–2100 of 56579 articles for “Art. 150 U and 150 VC”
All financial investment advisers must be able to provide evidence at all times of the existence of an insurance policy covering them against the financial consequences of their professional civil lia…
Tied agents as defined in article L. 545-1 are registered in the single register mentioned in article L. 546-1.
…y person other than one of the persons mentioned in the first paragraph of I of Article L. 546-1 to use a name, a company name, an advertisement or, in general, expressions that lead to the belief or…
The remuneration policy of investment firms applies to categories of staff, in particular the persons mentioned in Article L. 533-25, risk-takers and any employee receiving total remuneration at least…
Payments linked to the early termination of an employment contract must correspond to effective performance assessed over time and not reward failure or fault. Global remuneration linked to compensati…
Prior to any public offer of tokens, issuers may apply for approval from the Autorité des marchés financiers. Issuers shall prepare a document providing all relevant information to the public on the p…
The persons referred to in Article L. 561-2 shall apply the due diligence measures intended to implement their obligations under this chapter on the basis of an assessment of the risks presented by th…
Before entering into a business relationship, the persons referred to in Article L. 561-2 shall collect information relating to the purpose and nature of the relationship and any other relevant inform…
…5° to 6°a of Article L. 561-2 has a cross-border correspondent relationship with a financial institution located in a country that is not a member of the European Union or a party to the Agreement on…
I. - The department referred to in Article L. 561-23 shall exchange with the supervisory authorities, professional bodies and national representative bodies referred to in Article L. 561-36 any inform…
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