Article L541-6
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…
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Showing 2931–2940 of 16885 articles for “Art. CA Paris 29-6-2007 n° 05/17124”
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…
…ing services wishing to engage in the activity referred to in Article L. 547-4 shall submit an application to the Autorité des marchés financiers, either when applying for authorisation as a provider…
Articles L. 544-3 to L. 544-5 apply to voting advisers whose registered office is in France, to voting advisers whose registered office is not in a Member State of the European Union but whose head of…
…t or no longer offers the guarantees provided for in Article L. 552-5, it may order that any communication concerning the offer referring to its approval be discontinued and withdraw its approval unde…
…e persons shall, within the limits of their rights and obligations, exercise constant vigilance and carefully examine the transactions carried out, ensuring that they are consistent with their up-to-d…
The persons referred to in article L. 562-4 are prohibited from knowingly and intentionally participating in activities the purpose or effect of which is to circumvent the measures taken pursuant to t…
Failure by the directors of a credit institution or finance company to draw up an inventory for each financial year, prepare annual financial statements and a management report in accordance with the…
…le by three years' imprisonment and a fine of €375,000.The court may also order the posting or broadcasting of the decision handed down in accordance with the conditions set out inarticle 131-39 of th…
Directors of an investment firm or portfolio management company who fail to prepare the accounts of the firm or company in consolidated form in accordance with Article L. 533-5 are liable to a fine of…
The penalties laid down in Article L. 574-5 shall apply if the beneficial owner fails to provide the company or entity with the information required under Article L. 561-45-2 within the time limits la…
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