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Showing 4211–4220 of 68654 articles for “Art. L. 123-11 and L. 123-11-1”
Investment service providers, other than asset management companies, shall ensure that they do not remunerate or assess the performance of their employees in a way that undermines their duty to act in…
Investment service providers other than portfolio management companies shall ensure and be able to demonstrate to the AMF that the natural persons who provide investment advice or information on finan…
…r other than a portfolio management company informs clients that the service referred to in Article L. 321-1 (5) is provided independently :1° It evaluates a sufficient range of financial instruments…
…he categories of contracts defined by the General Regulation of the Autorité des marchés financiers and having one of the following characteristics:1° The maximum risk is not known at the time of subs…
…ss the payment or benefit is intended to enhance the quality of the service concerned to the client and is not detrimental to compliance with the service provider's obligation to act honestly, fairly…
…es that execute client orders shall monitor the effectiveness of their order execution arrangements and execution policy in order to identify and address any weaknesses. In particular, they shall regu…
…her than portfolio management companies which provide the investment service referred to in Article L. 321-1 .4 shall not accept, unless they return them in full to the client, any remuneration, commi…
…tural or legal person who, for professional purposes, purchases products from one or more suppliers and resells them, on a principal basis, to other traders, wholesalers or retailers, to processors or…
I. - Notwithstanding any provision or stipulation to the contrary, the general meeting of any of the persons referred to in I of Article L. 613-34 may delegate to the competent body its authority to d…
The members of the staff delegation of the social and economic committee and the contact person provided for in the last paragraph of Article L. 2314-1 receive the training they need to carry out thei…
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