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Showing 121–130 of 38474 articles for “Art. L 533-13”
I. - The rules limiting the number of directorships provided for in II to IV of article L. 533-26 apply within an investment firm that meets one of the following conditions:1° The balance sheet total,…
The other convertible instruments referred to in 3° of Article L. 533-30-11 that may be used for the allocation of variable compensation are the only instruments that may be fully converted into Tier…
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…
The financial futures instruments referred to in the second paragraph of article R. 533-2 are those referred to in 2, 3, 4, 7 and 8 of I of article D. 211-1 A.
…board, on the one hand, and the members of the management board or any other body exercising equivalent functions or any persons who effectively manage the business of the firm within the meaning ofA…
I.-The shareholder engagement policy referred to in I of Article L. 533-22 describes the way in which the following elements in particular are ensured: 1° Monitoring of strategy, financial and non-fin…
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…
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…
If, after the sale of the property, the price has been duly paid for distribution, final publication is replaced by service of the creditor's title on the person responsible for distributing the price…
Investment service providers other than portfolio management companies may, on their own initiative or at the request of a client, treat as a non-professional client, either generally or in respect of…
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