Article D533-11
The following are deemed to be professional clients within the meaning of article L. 533-16, for all investment services and all financial instruments:1. a) The credit institutions referred to in arti…
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Showing 4751–4760 of 67139 articles for “Art. al. 1 and 1078-9”
The following are deemed to be professional clients within the meaning of article L. 533-16, for all investment services and all financial instruments:1. a) The credit institutions referred to in arti…
I. - For the purposes of II of Article L. 533-12, the information provided to clients is as follows:1° Where they provide the investment service referred to in 5° of Article L. 321-1, investment servi…
…le L. 545-4 must not have been subject to :a) a final conviction referred to in II ofarticle L. 500-1 within the last ten years ;b) a sanction provided for in 3° to 7° ofarticle L. 612-41, until such…
…en to the public, intermediaries in participative financing shall make available to the parties a standard contract that mentions the information provided for in 1° and a and d of 3° of Article R. 548…
…I of Article L. 533-22 describes the way in which the following elements in particular are ensured: 1° Monitoring of strategy, financial and non-financial performance, risks, capital structure, social…
The period of time after which the AMF's silence on applications for professional certification from bodies organising examinations to verify the professional knowledge of financial investment adviser…
…y may treat the retail client as a professional client, provided that it complies with the criteria and procedure set out in Article D. 533-12-1. However, non-professional clients must not be presumed…
For the authorisation procedure for the service providers mentioned in Article L. 547-1, the Autorité des marchés financiers shall assess the completeness of the application within twenty-five working…
I. - For the purposes of 1° of article L. 561-10, a person exposed to particular risks by virtue of their duties is a person who holds or has held for less than one year one of the following positions…
The third party referred to in Article L. 561-7 shall forward without delay to the persons referred to in 1° to 6° of Article L. 561-2 the information gathered in connection with the implementation of…
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