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Showing 3871–3880 of 69579 articles for “Art. L 221-1 and L 221-3”
Any portfolio management company which has decided to dissolve early before the end of this period remains subject, until the end of its liquidation, to the supervision of the Autorité des marchés fin…
When the offices are opened by portfolio management companies, the notification provided for in Article L. 532-14 is sent to the Autorité des marchés financiers. The latter shall inform the Autorité d…
The provisions of this section do not apply to: 1° Trading platform managers governed by Articles L. 420-18, L. 422-1, L. 424-9, L. 425-9 and L. 425-10 ; 2° Branches of credit institutions referred to…
…firm or an asset management company may not use any name, corporate name, advertising or, in general, any expression suggesting that it is authorised as an investment firm or as an asset management c…
I. - In order to provide investment services, investment services providers other than portfolio management companies must obtain authorisation. This authorisation is issued by the Autorité de contrôl…
When investment firms open information, liaison or representative offices in France, they must first notify the Autorité de contrôle prudentiel et de résolution, which will inform the Autorité des mar…
…n order to supervise an investment service provider benefiting from the regime provided for in Article L. 532-18-1, the competent authorities of the home country to which it belongs may require its br…
I. - Any member of a board of directors or, as the case may be, of a supervisory board and any person who in any capacity participates in the direction or management of an investment firm or portfolio…
Within the limits of the services it is authorised to provide in its home country, and depending on the authorisation it has received there, any legal or natural person authorised to provide investmen…
A portfolio management company may be struck off the list of approved portfolio management companies as a sanction by the Autorité des marchés financiers.Deregistration entails the liquidation of the…
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