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Showing 8341–8350 of 63520 articles for “Art. IV and V”
…poses of I bis of Article L. 533-13, professional clients wishing to benefit from the guarantees provided for therein shall inform the investment services provider either electronically or on paper.II…
…es of II of Article L. 533-15, the following conditions must be met:1° The client has agreed to receive the suitability statement without undue delay after the conclusion of the transaction;2° Investm…
…following are deemed to be professional clients within the meaning of article L. 533-16, for all investment services and all financial instruments:1. a) The credit institutions referred to in article…
The information referred to in article R. 533-19 as well as that concerning the results of the votes cast at the general meetings referred to in article L. 511-78 shall be sent to the European Banking…
Members of staff of an investment firm who have been given authority to sign on behalf of that firm may not take up any other employment or perform any paid work outside that firm without first inform…
I. - For the purposes of II of Article L. 533-12, the information provided to clients is as follows:1° Where they provide the investment service referred to in 5° of Article L. 321-1, investment servi…
Each of the persons who effectively directs the business of the undertaking within the meaning of Article L. 532-2 and each member of the Board of Directors, the Supervisory Board, the Management Boar…
Clients referred to in Article D. 533-12 may waive the protection afforded by the rules of conduct only in accordance with the following procedure: 1° The client shall notify the investment service pr…
…way in which the following elements in particular are ensured: 1° Monitoring of strategy, financial and non-financial performance, risks, capital structure, social and environmental impact and corpora…
The retail client may waive part of the protection afforded by the rules of conduct. In this case, the investment services provider other than an asset management company may treat the retail client a…
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