Article L533-28
A decree of the Conseil d'Etat shall specify the conditions of application of this sub-section.
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Showing 1091–1100 of 69954 articles for “Art. s. L 623-1 and L 623-2”
A decree of the Conseil d'Etat shall specify the conditions of application of this sub-section.
Investment services providers other than portfolio management companies which design financial instruments for sale to clients : 1° Maintain, apply and review a validation process for each financial i…
Investment firms shall devote the necessary human and financial resources to the training of the persons mentioned in I of Article L. 533-26.
Investment service providers other than asset management companies shall have sound administrative procedures, internal control mechanisms, effective risk assessment techniques, effective control and…
Investment services providers other than portfolio management companies authorised to provide the services mentioned in 1, 2 or 3 of Article L. 321-1 may initiate or conclude transactions with eligibl…
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…
Financial investment advisers who are natural persons, as well as natural persons with the power to manage or administer legal persons authorised as financial investment advisers, must meet the age an…
For the purposes of Article 27 of Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Regulation (EU) No 648/2012,…
The directors of a company must refrain from taking any initiative with the financial analysts whose services they pay for which would have the purpose or effect of favouring their own interests, or t…
Each tied agent acts under a mandate given by a single investment services provider. The investment services provider remains fully and unconditionally liable to third parties for acts carried out in…
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