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Showing 1801–1810 of 63525 articles for “Art. L. 2315-89 and L. 2315-90”
The conditions set out in Chapters II, IV and V of Regulation (EU) 2020/1503 of 7 October 2020 are applicable to the provision of the services mentioned in Article L. 547-4, provided that the project…
…direct or manage an intermediary in participative financing must meet the conditions of good repute and professional competence laid down by decree in the Conseil d'Etat.
…ement functions within the investment firm. The branches of investment firms referred to in Article L. 532-48, where they are material in relation to their size, are required to provide evidence of th…
Participative finance intermediaries must behave honestly, fairly, transparently and professionally, taking into account the rights and interests of their clients, including potential clients. To this…
…with the contents of the offer document or no longer offers the guarantees provided for in Article L. 552-5, it may order that any communication concerning the offer referring to its approval be disc…
…ces provider other than a portfolio management company which, on an organised, frequent, systematic and substantial basis, deals on own account by executing client orders without operating a multilate…
Financial investment advisers are subject to the disqualifications set out in article L. 500-1.
Tied agents may not receive funds or financial instruments from their principal's customers if the principal is not a credit institution.
I. - Banking and payment services intermediaries as defined in article L. 519-1, financial investment advisors as defined in article L. 541-1, tied agents as defined in article L. 545-1 and equity fin…
…l civil liability in the event of a breach of their professional obligations, as defined in article L. 548-6. II. - A decree lays down the conditions for application of this article, in particular the…
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