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Showing 2101–2110 of 57074 articles for “Art. 298 sexdecies E and Art. 537”
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,…
I. - An intermediary in various goods is 1° Any person who, directly or indirectly, by means of promotional communication or canvassing, offers on a regular basis to one or more clients or potential c…
The remuneration of senior executives in charge of risk management and compliance is directly supervised by the remuneration committee referred to in article L. 533-31-4 or, if no such committee has b…
Where performance is taken into account, the variable remuneration granted and paid to the categories of staff referred to in Article L. 533-30 shall be determined on the basis of a combined assessmen…
A decree in the Conseil d'Etat shall lay down the conditions for the application of this sub-section.
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…
Financial investment advisers must:1° Act honestly, loyally and professionally, in the best interests of their clients;2° Exercise their activity, within the limits authorised by their status, with du…
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…
Any interested party may apply to the President of the Court hearing an application for interim measures to order a voting consultant to make public the information referred to in article L. 544-4, su…
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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