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Showing 2751–2760 of 58573 articles for “Art. 150 VI and 150 VM”
…estment firms of significant importance in relation to their size, the board of directors, the supervisory board or any other body exercising equivalent supervisory functions shall establish a risk co…
Participative finance intermediaries must behave honestly, fairly, transparently and professionally, taking into account the rights and interests of their clients, including potential clients. To this…
Before carrying on business, providers of the services referred to in 1° to 4° of Article L. 54-10-2 established in France or providing such services in France, shall be registered by the Autorité des…
Any person who has not been registered with the Autorité des marchés financiers may not provide the services referred to in 1° to 4° of Article L. 54-10-2. Any person who is not registered as a provid…
If, after having granted its approval, the Autorité des marchés financiers finds that the offer proposed to the public no longer complies with the contents of the offer document or no longer offers th…
A decree of the Conseil d'Etat shall lay down the conditions for the application of this sub-section.
A systematic internaliser is an investment services provider other than a portfolio management company which, on an organised, frequent, systematic and substantial basis, deals on own account by execu…
Financial investment advisers are subject to the disqualifications set out in article L. 500-1.
Tied agents may not receive funds or financial instruments from their principal's customers if the principal is not a credit institution.
I. - Participative finance intermediaries must be able to provide evidence at all times of an insurance policy covering them against the financial consequences of their professional civil liability in…
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