Article L541-2
…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…
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Showing 5711–5720 of 21962 articles for “Art. BOFiP-IS-CHAMP-10-30-§§ 320 et 330”
…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.
…ese services and canvass clients on behalf of the investment service provider under the conditions set out in Chapter I of Title IV of Book III.
An investment service provider that uses a tied agent shall take appropriate steps to ensure that the activities of the tied agent outside the scope of this Chapter do not adversely affect the activit…
…of Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Regulation (EU) No 648/2012, the Autorité des marchés fina…
…Any person who collects funds for this purpose; 3° Any person responsible for managing the said assets. II. - Any person who offers one or more clients or potential clients the opportunity to acquire…
I.-Financial investment advisers may not receive financial instruments from their clients. They may not receive funds from their clients other than those intended to remunerate their activity. II -Fin…
…3° Ensure that they do not remunerate or evaluate the results of their employees in a way that is detrimental to their obligation to act in the best interests of their clients when providing the advi…
…ave the purpose or effect of favouring their own interests, or those of their shareholders, to the detriment of accurate information.
Any interested party may apply to the President of the Court hearing an application for interim measures to order a voting consultant to make public the information referred to in article L. 544-4, su…
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