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Showing 1711–1720 of 14416 articles for “Art. 6e et 5e ch.”
…ix months from the date on which the conditions for qualification as a class 3 investment firm are met. However, subsections 2, 3 and 4 shall cease to apply to the investment firm at the end of that p…
…providers other than portfolio management companies that use algorithmic trading to implement a market-making strategy must comply with the following conditions, taking into account the liquidity, siz…
…ch provide the investment service referred to in Article L. 321-1 .4 shall not accept, unless they return them in full to the client, any remuneration, commission or other monetary or non-monetary ben…
…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…
…ment firm or in the event of failure to comply with the obligations relating to good repute and competence.
…ne of €6,000 or one of these two penalties only. Any person who disregards one of the prohibitions set out in article L. 546-3 shall be liable to three years' imprisonment and a fine of €375,000, or t…
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…
…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…
The codes of conduct referred to in Article L. 541-4 must comply with the rules of conduct referred to in Article L. 541-8-1, which they may specify and supplement.
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