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Showing 661–670 of 64513 articles for “Art. L. 133-4 et R. 133-3”
In its capacity as home authority of an asset management company, the Autorité des marchés financiers shall forward a copy of the relevant cooperation arrangements it has entered into in accordance wi…
…IFM's operations in the European Union within two years of its authorisation indicates that the marketing strategy as presented at the time of authorisation has not been followed or that it has made f…
…nd Saint-Martin must submit an application for authorisation to the Autorité de contrôle prudentiel et de résolution, in accordance with the conditions laid down by decree.
Where the AMF is the competent authority of the home Member State of an AIFM established in a third country and considers that the AIFM is not complying with the rules falling within its remit, it sha…
The Autorité des marchés financiers may, at the request of the European Securities and Markets Authority:1° Prohibit the marketing, in the European Union, of units or shares of AIFs managed by manager…
…ion nor a party to the Agreement on the European Economic Area, the Autorité de contrôle prudentiel et de résolution shall verify, on its own initiative or at the request of the parent undertaking or…
I. - Breaches of the provisions of this chapter, with the exception of article L. 546-3, are punishable by two years' imprisonment and a fine of €6,000 or one of these two penalties only. Any person w…
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…
…year, in addition to drawing up its own accounts, the manager shall draw up an inventory of the assets under its management and a statement of the sums collected during the financial year on behalf o…
…he measures taken to prevent and manage such conflicts and relationships. A decree in the Conseil d'Etat shall specify the procedures for applying this article.
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