Article R533-18-5
I.-The persons mentioned in Article L. 533-29-3 shall draw up a table grouping together the information relating to their establishments by State or territory, mentioned in 1° of the same article, as…
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Showing 8961–8970 of 69730 articles for “Art. L 3324-10 and R 3324-21-1”
I.-The persons mentioned in Article L. 533-29-3 shall draw up a table grouping together the information relating to their establishments by State or territory, mentioned in 1° of the same article, as…
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…
Subsections 2 and 3 of this section apply to class 2 and class 3 investment firms under the conditions defined in Article L. 533-24-2.
For the application of Article L. 561-15-1, the persons mentioned in 1° to 1°c of Article L. 561-2 shall transmit to the department mentioned in Article L. 561-23 the information relating to the trans…
For the application of Articles L. 561-7, L. 561-20, 3° of Article R. 561-5-2, 2° of Article R. 561-5-3 and Article R. 561-9, the persons mentioned in Article L. 561-2 concerned shall assess the level…
For the purposes of 2° of I of Article L. 561-5, the persons referred to in Article L. 561-2 shall verify the identity of the customer in one of the following ways: 1° By using : a) A means of electro…
I. - To implement the simplified due diligence measures provided for in 2° of Article L. 561-9, the persons mentioned in Article L. 561-2 shall implement the measures for identifying the customer and…
The persons mentioned in 1° to 1°c of Article L. 561-2, acting as acquirers within the meaning of EU Regulation 2015/751 of the European Parliament and of the Council of 29 April 2015, shall only acce…
The persons referred to in Article L. 561-2 shall ensure that the persons involved in implementing the obligations laid down in this chapter have the appropriate experience, qualifications and hierarc…
For the purposes of III of Article L. 561-40, the Commission's decision shall be published on the Commission's website. The publication shall mention at least the sanction imposed and the nature of th…
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