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Showing 1951–1960 of 56760 articles for “Art. n°² 96-17.280 and 97-13.423”
…making strategy must comply with the following conditions, taking into account the liquidity, size and nature of the market and the characteristics of the financial instrument concerned: 1° They carr…
…non-monetary benefits that are likely to improve the quality of the service provided to a customer and whose size and nature are such that they cannot be considered to interfere with the service prov…
…cles L. 533-11 to L. 533-14, with the exception of III bis of article L. 533-12, articles L. 533-15 and L. 533-18 to L. 533-18-2, I of article L. 533-19, and articles L. 533-24 and L. 533-24-1 with re…
The investment services providers and persons mentioned in article L. 421-17 are required to inform investors, before entering into business relations with them, of the existence of a compensation sch…
…ive rise to restitution where the financial results of the investment firm are mediocre or negative and in particular where the person concerned has disregarded the rules laid down by the investment f…
…of this chapter, with the exception of article L. 546-3, are punishable by two years' imprisonment and a fine of €6,000 or one of these two penalties only. Any person who disregards one of the prohib…
…he risk committee set up pursuant to the provisions of Article L. 533-31 have the knowledge, skills and expertise to enable them to understand, manage and monitor the investment firm's risk strategy a…
…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…
…1-4 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…
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