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Showing 4151–4160 of 14416 articles for “Art. 6e et 5e ch.”
Members of staff of an investment firm who have been given authority to sign on behalf of that firm may not take up any other employment or perform any paid work outside that firm without first inform…
…the power to manage or administer legal persons authorised as financial investment advisers must meet the following conditions: 1° Be of legal age; 2° They must not be subject to : a) banned temporar…
I. - Participative finance intermediaries shall mention on their website, in a manner that is easily accessible from the first page, and in all correspondence and on all advertising media, with the ex…
…management companies shall indicate to the client, in good time before the service is provided:- whether the investment advice is provided independently ;- whether the investment advice is based on a…
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…
…of cover under the professional indemnity insurance contract provided for in Article L. 541-3 are set as follows:1° 150,000 euros per claim and 150,000 euros per insurance year for natural persons an…
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…
For the purposes of Article 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 pruden…
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…
…he following procedure: 1° The client shall notify the investment service provider other than an asset management company in writing of its wish to be treated as a professional client, either at any t…
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