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Showing 2301–2310 of 69033 articles for “Art. 489 al. 1 and Art. 490 al. 2”
Investment firms shall devote the necessary human and financial resources to the training of the persons mentioned in I of Article L. 533-26.
…ve procedures, internal control mechanisms, effective risk assessment techniques, effective control and safeguard arrangements for their IT systems and risk mitigation techniques for OTC derivative co…
…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 eligible counterparties wit…
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…
…o manage or administer legal persons authorised as financial investment advisers, must meet the age and good repute requirements set by decree, as well as the professional competence requirements set…
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…
The key investment information sheet referred to in paragraphs 2 and 3 of Article 23 of Regulation (EU) No 2020/1503 of 7 October 2020 shall be drawn up in French. However, under the conditions and wi…
Only joint stock companies may, in connection with the transactions referred to in article L. 551-1, receive sums corresponding to subscriptions by purchasers or payments of the proceeds of their inve…
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