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 3211–3220 of 55286 articles for “Art. s. 389 et 389-1”
…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…
…ment firm or in the event of failure to comply with the obligations relating to good repute and competence.
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…
A decree in the Conseil d'Etat shall lay down the conditions for the application of this sub-section.
…3° Ensure that they do not remunerate or evaluate the results of their employees in a way that is detrimental to their obligation to act in the best interests of their clients when providing the advi…
Financial investment advisers are treated in the same way as investment service providers other than portfolio management companies for the purposes of Article L. 533-12-7.
Financial investment advisers as defined in article L. 541-1 are registered in the single register mentioned in article L. 546-1.
Digital asset services include the following services: 1° The service of holding digital assets on behalf of third parties or access to digital assets, where applicable in the form of private cryptogr…
The allocation of variable components of total remuneration within the investment firm takes account of all the risks to which it is or is likely to be exposed.
Variable remuneration shall not be paid by means of financial instruments or methods that facilitate non-compliance with the provisions of Titles I and III of Book V of this Code or with Regulation (E…
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