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Showing 4121–4130 of 56501 articles for “Art. 725 and 719”
…licant has been authorised as an investment service provider other than an asset management company and is applying for authorisation to provide one or more data communication services within the mean…
…agreement drawn up on a durable medium shall specify the financial instruments, investment services and transactions concerned.
By way of derogation from this section, class 1 bis investment firms are subject to the provisions of articles R. 511-17 to R. 511-26.
…referred to in Article L. 533-30 with the long-term interests of the investment firm, its creditors and its clients, as referred to in the same Article.
…pose of verifying the good repute conditions referred to in articles L. 519-3-3, L. 541-2, L. 541-7 and article L. 548-4, the body referred to in I of article R. 546-1 shall request the bulletin no. 2…
…nce, economics or business sciences, management sciences, physical sciences, mathematics or banking and financial law, registered in the national directory of professional certifications mentioned in…
…e information referred to in Article 3(1) of Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments has been waived as a derogatio…
…nformation to the Autorité des marchés financiers: 1° The identity of the persons referred to in 1° and 2° of Article L. 54-10-3, documents relating to the good repute of these persons, in particular…
Investment firms, other than portfolio management companies, publish in their annual report the return on their assets, calculated by dividing their net profit by their balance sheet total.
Investment service providers other than portfolio management companies may, on their own initiative or at the request of a client, treat as a professional or non-professional client, either generally…
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