Article R533-18-3
Members of staff of an investment firm who have been given authority to sign on behalf of that firm may not take up any other employment or perform any paid work outside that firm without first inform…
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Showing 7321–7330 of 64513 articles for “Art. L. 133-4 et R. 133-3”
Members of staff of an investment firm who have been given authority to sign on behalf of that firm may not take up any other employment or perform any paid work outside that firm without first inform…
…this section apply to class 2 and class 3 investment firms under the conditions defined in Article L. 533-24-2.
For the application of III of Article L. 561-5, the persons mentioned in 2° to 2°e and 3°a of Article L. 561-2 shall identify and verify the identity of the beneficiaries of life insurance or capitali…
For the application of Article L. 561-15-1, the persons mentioned in 1° to 1°c of Article L. 561-2 shall transmit to the department mentioned in Article L. 561-23 the information relating to the trans…
…e legal arrangement governed by foreign law, a beneficial owner within the meaning of 1° of Article L. 561-2-2, any natural person who satisfies one of the following conditions: 1° He or she is the se…
For the application of 2° of I of Article L. 561-5, and by way of derogation from Article R. 561-5-2, when the measures provided for in 1° to 3° of Article R. 561-5-1 cannot be implemented: 1° The per…
The persons mentioned in 2° to 2°e and 3°a of Article L. 561-2 shall take measures to determine whether the beneficiaries of life insurance or capitalisation contracts and, where applicable, their ben…
For the application of Article L. 561-15-1, cash deposits made into a deposit or payment account opened in the name of a customer, other than a person mentioned in 1° to 7° of Article L. 561-2, and ca…
The persons referred to in Article L. 561-2 shall ensure that the persons involved in implementing the obligations laid down in this chapter have the appropriate experience, qualifications and hierarc…
Where the persons referred to in the first paragraph of Article R. 561-38-2 use an external service provider pursuant to Article R. 561-38-2, they shall ensure that their internal control system also…
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