Article L533-9
When investment service providers other than portfolio management companies trade over-the-counter financial instruments that are economically equivalent to commodity derivatives, units referred to in…
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Showing 2131–2140 of 63459 articles for “Art. L 214-94 and L 214-109”
When investment service providers other than portfolio management companies trade over-the-counter financial instruments that are economically equivalent to commodity derivatives, units referred to in…
Investment services providers other than portfolio management companies shall notify the Autorité de contrôle prudentiel et de résolution of significant intra-group transactions in accordance with the…
Investment services 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 eligibl…
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…
I. - Breaches of the provisions of this chapter, with the exception of article L. 546-3, are punishable by two years' imprisonment and a fine of €6,000 or one of these two penalties only. Any person w…
Financial investment advisers who are natural persons, as well as natural persons with the power to manage or administer legal persons authorised as financial investment advisers, must meet the age an…
The codes of conduct referred to in Article L. 541-4 must comply with the rules of conduct referred to in Article L. 541-8-1, which they may specify and supplement.
…nvestment service provider may use the services of tied agents, within the meaning of 29(1) of Article 4 of Directive 2014/65/EU of 15 May 2014 and who may be natural or legal persons, to provide the…
An investment service provider that uses a tied agent shall take appropriate steps to ensure that the activities of the tied agent outside the scope of this Chapter do not adversely affect the activit…
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,…
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