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Showing 1871–1880 of 38181 articles for “Art. L 533-15”
The custodian-account keeper safeguards the rights of account holders to the financial securities held in the account. It may only use these securities for its own account under the conditions set out…
Before making an offer relating to financial instruments, digital assets, a service on digital assets, an investment service or a related service, direct marketers shall enquire about the financial si…
Article L. 533-22-1 of the Monetary and Financial Code applies to supplementary occupational pension funds.
The rules of the multilateral trading facility shall lay down the conditions for admission to membership of the facility, based on objective criteria, in a transparent and non-discriminatory manner. W…
I. - In accordance with the first paragraph of Article L. 2234-24 of the Defence Code, deeds relating to the settlement of compensation following requisitions are exempt from registration duties. II.…
The resolution college shall ensure compliance by the persons under its jurisdiction with the requirements set pursuant to Article L. 613-44 in coordination with the supervisory college. Where the res…
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…
Investment firms are legal entities, other than portfolio management companies and credit institutions, which are authorised to provide the investment services referred to in Article L. 321-1 on a reg…
Financial investment advisers are treated in the same way as investment service providers other than portfolio management companies for the purposes of Article L. 533-12-7.
I. - Where the solvency or liquidity of a person subject to supervision by the Authority or where the interests of its customers, policyholders, members or beneficiaries, are compromised or are likely…
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