Article L533-12-3
…ch provide the investment service referred to in Article L. 321-1 .4 shall not accept, unless they return them in full to the client, any remuneration, commission or other monetary or non-monetary ben…
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Showing 1851–1860 of 15298 articles for “Art. s. 2003 et seq.”
…ch provide the investment service referred to in Article L. 321-1 .4 shall not accept, unless they return them in full to the client, any remuneration, commission or other monetary or non-monetary ben…
…tiate or conclude transactions with eligible counterparties without complying with the obligations set out in Articles L. 533-11 to L. 533-14, with the exception of III bis of article L. 533-12, artic…
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…
…ment firm or in the event of failure to comply with the obligations relating to good repute and competence.
…ne of €6,000 or one of these two penalties only. Any person who disregards one of the prohibitions set out in article L. 546-3 shall be liable to three years' imprisonment and a fine of €375,000, or t…
The members of the 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…
…the power to 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 requir…
The codes of conduct referred to in Article L. 541-4 must comply with the rules of conduct referred to in Article L. 541-8-1, which they may specify and supplement.
…ese services and canvass clients on behalf of the investment service provider under the conditions set out in Chapter I of Title IV of Book III.
An investment service provider that uses a tied agent shall take appropriate steps to ensure that the activities of the tied agent outside the scope of this Chapter do not adversely affect the activit…
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