Article L531-2
…ble, govern them, without being subject to the authorisation procedure provided for in Article L. 532-1 but without being able to claim the benefit of the provisions of Articles L. 532-16 to L. 532-27…
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Showing 4191–4200 of 64544 articles for “Art. 2 and Art. 187”
…ble, govern them, without being subject to the authorisation procedure provided for in Article L. 532-1 but without being able to claim the benefit of the provisions of Articles L. 532-16 to L. 532-27…
I. - The persons who effectively manage the business of the firm within the meaning of Article L. 532-2 .4 and the members of the board of directors, the supervisory board, the management board or any…
I.-In an investment firm, the following persons must at all times be of sufficiently good repute and have the knowledge, skills and experience required to perform their duties: 1° Members of the Board…
A decree of the Conseil d'Etat shall specify the conditions of application of this sub-section.
…io management companies which design financial instruments for sale to clients : 1° Maintain, apply and review a validation process for each financial instrument and for significant adaptations of exi…
Investment firms shall devote the necessary human and financial resources to the training of the persons mentioned in I of Article L. 533-26.
…viders other than portfolio management companies authorised to provide the services mentioned in 1, 2 or 3 of Article L. 321-1 may initiate or conclude transactions with eligible counterparties withou…
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…
For the purposes of Article 27 of Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Regulation (EU) No 648/2012,…
The directors of a company must refrain from taking any initiative with the financial analysts whose services they pay for which would have the purpose or effect of favouring their own interests, or t…
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