Article L541-2
Financial investment advisers who are natural persons, as well as natural persons with the power to manage or administer legal persons authorised as financial investment advisers, must meet the age an…
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Showing 7451–7460 of 65644 articles for “Art. L 3324-5 and L 3324-6”
Financial investment advisers who are natural persons, as well as natural persons with the power to manage or administer legal persons authorised as financial investment advisers, must meet the age an…
The codes of conduct referred to in Article L. 541-4 must comply with the rules of conduct referred to in Article L. 541-8-1, which they may specify and supplement.
…nvestment service provider may use the services of tied agents, within the meaning of 29(1) of Article 4 of Directive 2014/65/EU of 15 May 2014 and who may be natural or legal persons, to provide the…
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,…
I. - An intermediary in various goods is 1° Any person who, directly or indirectly, by means of promotional communication or canvassing, offers on a regular basis to one or more clients or potential c…
The directors of a company must refrain from taking any initiative with the financial analysts whose services they pay for which would have the purpose or effect of favouring their own interests, or t…
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…
Systematic internalisers shall make available to the public at least once a year, free of charge, data relating to the quality of execution of transactions executed within them. These periodic reports…
Collective investment management companies are portfolio management companies, legal entities that manage the AIFs mentioned in 3° of III of Article L. 214-24, managers of European venture capital fun…
Natural persons who are tied agents of investment service providers, as well as natural persons who have the power to manage or administer legal persons authorised as tied agents of investment service…
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