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Showing 6591–6600 of 42727 articles for “Art. L. 145-37 et Art. L. 145-38”
The provisions of Articles L. 532-23 and L. 532-24 apply ipso jure to the provision of the investment services mentioned in Article L. 321-1. They may also apply to the joint provision of related serv…
Where the Autorité de contrôle prudentiel et de résolution or the Autorité des marchés financiers finds that an ISP with a branch in mainland France, Guadeloupe, French Guiana, Martinique, Reunion, Ma…
Where the Autorité de contrôle prudentiel et de résolution or the Autorité des marchés financiers has clear and demonstrable grounds for believing that an investment service provider operating under t…
For the application of articles L. 1226-15, L. 1234-9, L. 1235-3, L. 1235-3-1, L. 1235-11 and L. 1235-16 of the Labour Code, the determination of the indemnity payable by the employer does not take in…
…le result in executing orders, taking into account price, cost, speed, likelihood of execution and settlement, size, nature of the order or any other considerations relating to the execution of the or…
Portfolio management companies shall set a target for balanced representation of women and men among the teams, bodies and managers responsible for making investment decisions. The results obtained ar…
Asset management companies shall act honestly, fairly and professionally in the best interests of investors. All information, including promotional communications, sent by an asset management company…
…ncial instruments for sale to clients and investment service providers that offer, recommend or market financial instruments are not subject to the obligations set out in Article L. 533-24 and 1° to 3…
…ing investment or related services to clients, shall be deemed to fulfil the obligations of Article L. 533-11 if : 1° Prior to the provision of execution services or research services or materials, th…
…authority responsible for supervision on a consolidated basis, the Autorité de contrôle prudentiel et de résolution receives an application for approval or exemption from approval referred to in Arti…
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