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Showing 3341–3350 of 57785 articles for “Art. 1691 bis and Art. 1723 ter-00 B”
…y return them in full to the client, any remuneration, commission or other monetary or non-monetary benefit relating to the provision of the service to the client, paid or provided by a third party or…
…services mentioned in 1, 2 or 3 of Article L. 321-1 may initiate or conclude transactions with eligible counterparties without complying with the obligations set out in Articles L. 533-11 to L. 533-14…
The investment services providers and persons mentioned in article L. 421-17 are required to inform investors, before entering into business relations with them, of the existence of a compensation sch…
By way of derogation fromarticle L. 1331-2 of the French Labour Code, the total amount of variable remuneration may, in whole or in part, be reduced or give rise to restitution where the financial res…
I. - Breaches of the provisions 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 w…
The members of the 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…
…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…
…1-4 must comply with the rules of conduct referred to in Article L. 541-8-1, which they may specify and supplement.
…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…
…the scope of this Chapter do not adversely affect the activities that the tied agent undertakes on behalf of the investment service provider.
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