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Showing 5181–5190 of 24360 articles for “Art. 155 IV”
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…
…any potential client, all relevant information about the service offered. They shall monitor the activities of the latter, so as to be able to comply at all times with the legal and regulatory provisi…
Investment services providers that use the services of tied agents must ensure that these agents are registered in accordance with Article L. 545-5.
…th all the information needed to verify the conditions governing access to and practice of their activity. They are also required to inform this body as soon as possible if they no longer comply with…
Tied agents may not receive funds or financial instruments from their principal's customers if the principal is not a credit institution.
I. - Banking and payment services intermediaries as defined in article L. 519-1, financial investment advisors as defined in article L. 541-1, tied agents as defined in article L. 545-1 and equity fin…
Tied agents as defined in article L. 545-1 are registered in the single register mentioned in article L. 546-1.
It is forbidden for any 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…
The decision of the Autorité de contrôle prudentiel et de résolution provided for in Article L. 324-5 shall be made after the measures provided for in Article L. 612-33, 14° of the Monetary and Financ…
The court opens the professional recovery procedure only after ensuring that the legal conditions are met.The opinion of the public prosecutor is required prior to opening the procedure.
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