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Showing 5781–5790 of 57785 articles for “Art. 1691 bis and Art. 1723 ter-00 B”
…vice providers other than portfolio management companies shall indicate to the client, in good time before the service is provided:- whether the investment advice is provided independently ;- whether…
Each of the persons who effectively directs the business of the undertaking within the meaning of Article L. 532-2 and each member of the Board of Directors, the Supervisory Board, the Management Boar…
I. - The civil liability insurance contract taken out by a financial investment adviser pursuant to article L. 541-3 includes cover that takes effect on 1st March for a period of twelve months. The co…
The tied agents referred to inarticle L. 545-4 must not have been subject to :a) a final conviction referred to in II ofarticle L. 500-1 within the last ten years ;b) a sanction provided for in 3° to…
…ticle L. 547-5, the provider of participative finance services shall include the overheads incurred by the activity mentioned in Article L. 547-4 in the calculation of the prudential requirements of R…
I.-When they present donation-based financing offers on their website that take the form of a collection open to the public, intermediaries in participative financing shall make available to the parti…
Clients referred to in Article D. 533-12 may waive the protection afforded by the rules of conduct only in accordance with the following procedure: 1° The client shall notify the investment service pr…
I.-The shareholder engagement policy referred to in I of Article L. 533-22 describes the way in which the following elements in particular are ensured: 1° Monitoring of strategy, financial and non-fin…
…he period of time after which the AMF's silence on applications for professional certification from bodies organising examinations to verify the professional knowledge of financial investment advisers…
…ce agent relating to the extinctive management of its activities in the event that it is no longer able to continue to carry them out.
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