Article L533-21
Portfolio management companies are prohibited from receiving deposits of funds, securities or gold from their clients.
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Showing 6791–6800 of 66810 articles for “Art. Cass. 2ème civ. 2-7-2020 n°s 19-11.417 and 19-13.636”
Portfolio management companies are prohibited from receiving deposits of funds, securities or gold from their clients.
…icle L. 532-9 or which manage other collective investments mentioned in article L. 214-191, draw up and publish a shareholder engagement policy describing how they integrate their role as shareholder…
A decree of the Conseil d'Etat shall specify the conditions of application of this sub-section.
…io management companies which design financial instruments for sale to clients : 1° Maintain, apply and review a validation process for each financial instrument and for significant adaptations of exi…
Investment firms shall devote the necessary human and financial resources to the training of the persons mentioned in I of Article L. 533-26.
…ve procedures, internal control mechanisms, effective risk assessment techniques, effective control and safeguard arrangements for their IT systems and risk mitigation techniques for OTC derivative co…
…cles L. 533-11 to L. 533-14, with the exception of III bis of article L. 533-12, articles L. 533-15 and L. 533-18 to L. 533-18-2, I of article L. 533-19, and articles L. 533-24 and L. 533-24-1 with re…
The investment services providers and persons mentioned in article L. 421-17 are required to inform investors, before entering into business relations with them, of the existence of a compensation sch…
…o 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 requirements set…
For the purposes of Article 27 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,…
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