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Showing 1781–1790 of 56493 articles for “Art. and 1527”
In investment firms of significant importance in terms of their size and according to criteria relating to the level of remuneration of the individual, the payment of a portion at least equal to 40% o…
In investment firms of significant importance in relation to their size, the board of directors, the supervisory board or any other body exercising equivalent supervisory functions shall establish a r…
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…
…whether: 1° The persons who effectively manage the service provider are of sufficiently good repute and are competent to perform their duties; 2° The natural persons who either hold, directly or indir…
…rticle L. 54-10-2. Any person who is not registered as a provider of the services referred to in 1° and 4° above is prohibited from using a name, company name, advertising or any other process that gi…
…it may order that any communication concerning the offer referring to its approval be discontinued and withdraw its approval under the conditions specified in its General Regulations, either definiti…
A decree of the Conseil d'Etat shall lay down the conditions for the application of this sub-section.
…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.
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