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Showing 9631–9640 of 66237 articles for “Art. III and IV”
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,…
…ge the property themselves or where the contract offers them the option of repossession or exchange and the revaluation of the capital invested; 2° Any person who collects funds for this purpose; 3° A…
The remuneration of senior executives in charge of risk management and compliance is directly supervised by the remuneration committee referred to in article L. 533-31-4 or, if no such committee has b…
Where performance is taken into account, the variable remuneration granted and paid to the categories of staff referred to in Article L. 533-30 shall be determined on the basis of a combined assessmen…
A decree in the Conseil d'Etat shall lay down the conditions for the application of this sub-section.
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…
Financial investment advisers must:1° Act honestly, loyally and professionally, in the best interests of their clients;2° Exercise their activity, within the limits authorised by their status, with du…
Each tied agent acts under a mandate given by a single investment services provider. The investment services provider remains fully and unconditionally liable to third parties for acts carried out in…
…f those fulfilling the characteristics of the financial instruments referred to in Article L. 211-1 and the savings bonds referred to in Article L. 223-1; 2° Any digital representation of a value that…
…of investment firms makes a distinction, based on clear criteria, between basic fixed remuneration and variable remuneration. Basic fixed remuneration primarily reflects professional experience in re…
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