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Showing 1761–1770 of 63525 articles for “Art. L. 2315-89 and L. 2315-90”
…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,…
…ge the property themselves or where the contract offers them the option of repossession or exchange and the revaluation of the capital invested; 2° Any person who collects funds for this purpose; 3° A…
…activity. II -Financial investment advisors may not claim the benefit of the provisions of articles L. 532-23 and L. 532-24.
The directors of a company must refrain from taking any initiative with the financial analysts whose services they pay for which would have the purpose or effect of favouring their own interests, or t…
…interim measures to order a voting consultant to make public the information referred to in article L. 544-4, subject to a fine where appropriate.
Each tied agent acts under a mandate given by a single investment services provider. The investment services provider remains fully and unconditionally liable to third parties for acts carried out in…
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