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Showing 6741–6750 of 69694 articles for “Art. L 144-2 and Art. R 132-5-3”
I. - A. - The penalties provided for in A of I of Article L. 465-1 shall apply to any person who carries out a transaction, places an order or behaves in such a way as to give, or be likely to give, m…
I. - This section applies to1° to financial instruments traded on a trading venue or for which a request for admission to trading on a trading venue has been submitted ;2° Financial instruments other…
Article L. 533-22-1 is applicable to credit institutions and investment firms for their activities of portfolio management on behalf of third parties and investment advice within the meaning of Articl…
The Autorité des marchés financiers shall ensure that issuers whose registered office is located outside France, which are not subject to the obligations defined in Article L. 451-1-2, and whose secur…
I. - The Financial Public Prosecutor may not initiate public proceedings for the application of the penalties provided for in this section when the Autorité des marchés financiers has served a stateme…
I.-The Autorité de contrôle prudentiel et de résolution may order a person referred to in 1°, 4°, 9° and 10° of A of I of Article L. 612-2, a class 1 bis investment firm or, with the exception of firm…
I. - As an exception to the prohibition laid down in article L. 521-2, a provider of electronic communications networks or services may provide payment services, in addition to electronic communicatio…
An investment holding company is a financial institution the subsidiaries of which are exclusively or mainly investment firms or financial institutions, at least one of which is an investment firm whi…
The banking and payment services intermediaries defined in Article L. 519-1 are registered in the single register referred to in Article L. 546-1.
Where the intermediary acts on behalf of a credit institution, a finance company, an electronic money institution that provides payment services, a payment institution, another intermediary in banking…
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