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Showing 1561–1570 of 62810 articles for “Art. 2° et II”
Portfolio management companies are prohibited from receiving deposits of funds, securities or gold from their clients.
…article L. 214-167, FIAs covered by IV of article L. 532-9, FIAs covered by the second paragraph of III of the same article L. 532-9 or which manage other collective investments mentioned in article L…
A decree of the Conseil d'Etat shall specify the conditions of application of this sub-section.
…al instrument and for significant adaptations of existing financial instruments before they are marketed or distributed to clients. This validation process determines a defined target market of end cl…
Investment firms shall devote the necessary human and financial resources to the training of the persons mentioned in I of Article L. 533-26.
Investment service providers other than asset management companies shall have sound administrative procedures, internal control mechanisms, effective risk assessment techniques, effective control and…
…tiate or conclude transactions with eligible counterparties without complying with the obligations set out in Articles L. 533-11 to L. 533-14, with the exception of III bis of article L. 533-12, artic…
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…
…the power to 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 requir…
…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 Autorité des marchés fina…
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