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Showing 5371–5380 of 21284 articles for “Art. BOFiP-BIC-CHAMP-40-10-§§ 115 et 165”
Asset management companies shall act honestly, fairly and professionally in the best interests of investors. All information, including promotional communications, sent by an asset management company…
…al instrument and for significant adaptations of existing financial instruments before they are marketed or distributed to clients. This validation process determines a defined target market of end cl…
…ders shall act honestly, fairly and professionally, in a way that promotes the integrity of the market.
Undertakings established in France which are part of a group to which one or more management companies have their registered office in a Member State of the European Union or in another State party to…
…including promotional communications, addressed by an investment service provider other than an asset management company to clients, including potential clients, shall be accurate, clear and not misl…
…ncial instruments for sale to clients and investment service providers that offer, recommend or market financial instruments are not subject to the obligations set out in Article L. 533-24 and 1° to 3…
Investment firms shall devote the necessary human and financial resources to the training of the persons mentioned in I of Article L. 533-26.
A decree shall determine the conditions under which decisions to grant, refuse or withdraw authorisation are taken and notified, as well as the reporting requirements applicable to branches authorised…
Investment services providers shall keep, in accordance with the conditions laid down in the General Regulation of the Autorité des marchés financiers, relevant information relating to all transaction…
…h ; 3° The research for which the combined fees or joint payment is made concerns issuers whose market capitalisation, for the thirty-six month period preceding the provision of the research, did not…
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