Article L533-9
…instruments that are economically equivalent to commodity derivatives, units referred to in Article L. 229-7 of the Environmental Code or to financial contracts underlying the latter, they shall provi…
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Showing 2471–2480 of 63859 articles for “Art. L. 223-28 and C. civ. Art. 1844”
…instruments that are economically equivalent to commodity derivatives, units referred to in Article L. 229-7 of the Environmental Code or to financial contracts underlying the latter, they shall provi…
…lution of significant intra-group transactions in accordance with the conditions set out in Article L. 612-24.
…portfolio management companies authorised to provide the services mentioned in 1, 2 or 3 of Article L. 321-1 may initiate or conclude transactions with eligible counterparties without complying with t…
The investment services providers and persons mentioned in article L. 421-17 are required to inform investors, before entering into business relations with them, of the existence of a compensation sch…
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…
…o manage or administer legal persons authorised as financial investment advisers, must meet the age and good repute requirements set by decree, as well as the professional competence requirements set…
The codes of conduct referred to in Article L. 541-4 must comply with the rules of conduct referred to in Article L. 541-8-1, which they may specify and supplement.
…ces of tied agents, within the meaning of 29(1) of Article 4 of Directive 2014/65/EU of 15 May 2014 and who may be natural or legal persons, to provide the following investment services, for which it…
An investment service provider that uses a tied agent shall take appropriate steps to ensure that the activities of the tied agent outside the scope of this Chapter do not adversely affect the activit…
For the purposes of Article 27 of Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Regulation (EU) No 648/2012,…
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