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Showing 2731–2740 of 63666 articles for “Art. L 224-28 and L 224-40”
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,…
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…
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…
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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