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Showing 3541–3550 of 63846 articles for “Art. s. L. 223-21 and L. 225-41”
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…
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,…
…ge the property themselves or where the contract offers them the option of repossession or exchange and the revaluation of the capital invested; 2° Any person who collects funds for this purpose; 3° A…
I.-Financial investment advisers may not receive financial instruments from their clients. They may not receive funds from their clients other than those intended to remunerate their activity. II -Fin…
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…
…interim measures to order a voting consultant to make public the information referred to in article L. 544-4, subject to a fine where appropriate.
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…
…d within them. These periodic reports shall include detailed information on the price, costs, speed and likelihood of execution for the various financial instruments.The obligations mentioned in this…
Financial investment advisers must comply with the provisions of this subsection at all times. Financial investment advisers shall inform the association to which they belong of any change in the info…
…rtfolio management companies, legal entities that manage the AIFs mentioned in 3° of III of Article L. 214-24, managers of European venture capital funds covered by Regulation (EU) No 345/2013 of the…
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