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Showing 3261–3270 of 66692 articles for “Art. 727-1 and 728”
…ive rise to restitution where the financial results of the investment firm are mediocre or negative and in particular where the person concerned has disregarded the rules laid down by the investment f…
…he 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 risk strategy a…
A decree in the Conseil d'Etat shall lay down the conditions for the application of this sub-section.
Financial investment advisers must:1° Act honestly, loyally and professionally, in the best interests of their clients;2° Exercise their activity, within the limits authorised by their status, with du…
Financial investment advisers are treated in the same way as investment service providers other than portfolio management companies for the purposes of Article L. 533-12-7.
Financial investment advisers as defined in article L. 541-1 are registered in the single register mentioned in article L. 546-1.
…assets, where applicable in the form of private cryptographic keys, with a view to holding, storing and transferring digital assets; 2° The service of buying or selling digital assets in legal tender;…
The allocation of variable components of total remuneration within the investment firm takes account of all the risks to which it is or is likely to be exposed.
…of financial instruments or methods that facilitate non-compliance with the provisions of Titles I and III of Book V of this Code or with Regulation (EU) 2019/2033.
The persons referred to in article L. 533-30 are prohibited from using individual hedging or insurance strategies with regard to remuneration or liability in order to limit the application of the prov…
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