Article D533-5
When entering into a relationship, an investment services provider other than an asset management company shall collect relevant information relating to the identity and legal capacity of any new clie…
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Showing 4241–4250 of 14710 articles for “Art. 150 U et seq.”
When entering into a relationship, an investment services provider other than an asset management company shall collect relevant information relating to the identity and legal capacity of any new clie…
The following have the status of eligible counterparties within the meaning of Article L. 533-20: 1. a) The credit institutions referred to in Article L. 511-9 ; b) The investment firms referred to in…
Articles R. 533-18-3 and R. 533-18-4 apply to portfolio management companies.
The other convertible instruments referred to in 3° of Article L. 533-30-11 that may be used for the allocation of variable compensation are the only instruments that may be fully converted into Tier…
To obtain the authorisation as custodian referred to in Article L. 542-1, applicants must submit their application to the Autorité de contrôle prudentiel et de résolution. The application for authoris…
…tivity of providers of participative financing services referred to in article L. 547-4 relates exclusively to offers of shares in cooperative societies constituted in the form of a public limited com…
I. - The rules limiting the number of directorships provided for in II to IV of article L. 533-26 apply within an investment firm that meets one of the following conditions:1° The balance sheet total,…
I -An indication of the code of conduct to which the voting consultant refers, a report on its application and, where applicable, a list of the provisions from which he has deviated, together with the…
Pursuant to I of Article L. 546-1, an agreement is entered into between the body referred to inArticle L. 512-1 of the Insurance Code and the Autorité des marchés financiers. This agreement shall stip…
Where the applicant applies for authorisation to provide one or more data communication services within the meaning ofArticle L. 323-1, such authorisation shall be granted as part of the authorisation…
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