Article L541-1
I.-Financial investment advisers are persons who engage in the following activities on a regular professional basis: 1° Investment advice as referred to in 5 of article L. 321-1 ; 2° (Repealed) 3° Adv…
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Showing 5041–5050 of 68819 articles for “Art. 298 sexdecies A and B”
I.-Financial investment advisers are persons who engage in the following activities on a regular professional basis: 1° Investment advice as referred to in 5 of article L. 321-1 ; 2° (Repealed) 3° Adv…
Participative finance service providers are the legal persons defined in e) of paragraph 1 of Article 2 of Regulation (EU) No 2020/1503 of 7 October 2020. They shall be authorised, under the condition…
Staff performing control functions are independent of the business units they supervise, have the necessary authority and are remunerated on the basis of the achievement of objectives related to their…
Discretionary pension benefits as defined in Article 4(1) 73 of Regulation (EU) No 575/2013 of the European Parliament and of the Council of 26 June 2013 shall be consistent with the economic strategy…
Only the following may carry on the business of custody account-keeping for financial instruments 1° Legal entities in respect of the financial instruments they issue by public offer, with the excepti…
Articles L. 544-3 to L. 544-5 apply to voting advisers whose registered office is in France, to voting advisers whose registered office is not in a Member State of the European Union but whose head of…
Investment services providers that use the services of tied agents must ensure that these agents are registered in accordance with Article L. 545-5.
Participatory finance service providers may also provide, under the conditions set out in Article L. 547-5, services identical to those mentioned in point ii) of a) of paragraph 1 of Article 2 of Regu…
I.-Participative finance intermediaries are persons who habitually act as intermediaries within the meaning of Article L. 548-1. Only legal entities may be equity financing intermediaries.II.Participa…
The following are subject to the obligations set out in sections 2 to 7 of this chapter: 1° Bodies, institutions and services governed by the provisions of Title I of this Book, including branches of…
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