Article L548-6
…including potential clients. To this end, they shall take and document all reasonable measures to detect and prevent the risks of conflicts of interest that may arise in the course of their activity.…
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Showing 1791–1800 of 14332 articles for “Art. 964 et seq.”
…including potential clients. To this end, they shall take and document all reasonable measures to detect and prevent the risks of conflicts of interest that may arise in the course of their activity.…
…services in France, shall be registered by the Autorité des marchés financiers, which shall check whether: 1° The persons who effectively manage the service provider are of sufficiently good repute an…
Any person who has not been registered with the Autorité des marchés financiers may not provide the services referred to in 1° to 4° of Article L. 54-10-2. Any person who is not registered as a provid…
If, after having granted its approval, the Autorité des marchés financiers finds that the offer proposed to the public no longer complies with the contents of the offer document or no longer offers th…
A decree of the Conseil d'Etat shall lay down the conditions for the application of this sub-section.
…of Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments. The frequent and systematic nature is measured by the number of OTC tr…
Financial investment advisers are subject to the disqualifications set out in article L. 500-1.
Tied agents may not receive funds or financial instruments from their principal's customers if the principal is not a credit institution.
…egistered in the single register provided for in article L. 512-1 of the Insurance Code.A Conseil d'Etat decree shall specify the conditions for registration in this register and determine the informa…
I. - Participative finance intermediaries must be able to provide evidence at all times of an insurance policy covering them against the financial consequences of their professional civil liability in…
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