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Showing 3571–3580 of 57478 articles for “Art. CE 15 Apr 2016 n° 390457 and 390774”
In investment firms of significant importance in terms of their size and according to criteria relating to the level of remuneration of the individual, the payment of a portion at least equal to 40% o…
In investment firms of significant importance in relation to their size, the board of directors, the supervisory board or any other body exercising equivalent supervisory functions shall establish a r…
Participative finance intermediaries must behave honestly, fairly, transparently and professionally, taking into account the rights and interests of their clients, including potential clients. To this…
Before carrying on business, providers of the services referred to in 1° to 4° of Article L. 54-10-2 established in France or providing such services in France, shall be registered by the Autorité des…
…erson 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 provider of…
…nger offers the guarantees provided for in Article L. 552-5, it may order that any communication concerning the offer referring to its approval be discontinued and withdraw its approval under the cond…
A decree of the Conseil d'Etat shall lay down the conditions for the application of this sub-section.
A systematic internaliser is an investment services provider other than a portfolio management company which, on an organised, frequent, systematic and substantial basis, deals on own account by execu…
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.
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