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Showing 1521–1530 of 61600 articles for “Art. R 811-1 et seq.”
Where the intermediary provides an advisory service as referred to in Article L. 519-1-1, he shall gather the information he needs about his customer's personal and financial situation, preferences an…
The AMF shall draw up a list of the information that it deems necessary to carry out the assessment provided for in Article R. 532-15-1 and that must be communicated to it as part of the notification…
Class 1 bis investment firms are subject to the provisions of articles R. 511-15 to R. 511-16-4.
The Autorité des marchés financiers may oppose the proposed acquisition only if there are reasonable grounds for doing so based solely on the criteria set out in Article R. 532-15-1, or if the informa…
I. - A portfolio management company referred to in I of Article L. 532-25-1 that intends to establish a branch for the first time in another Member State of the European Union or in another State part…
When assessing the acquisition or extension of a direct or indirect qualifying holding in the capital of an investment firm referred to in I of Article L. 531-6, the Autorité de contrôle prudentiel et…
Articles R. 533-18-3 and R. 533-18-4 apply to portfolio management companies.
By way of derogation from this section, class 1 bis investment firms are subject to the provisions of articles R. 511-17 to R. 511-26.
I.-The disclosures referred to in II of Article L. 533-22 include the following information: 1° The most significant medium- and long-term risks associated with the investments made under the contract…
Where they have been given authority to sign on behalf of an investment firm, members of the staff of that investment firm may not, without the authorisation of the senior management, perform administ…
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