Article L533-26
I. - The persons who effectively manage the business of the firm within the meaning of Article L. 532-2 .4 and the members of the board of directors, the supervisory board, the management board or any…
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Showing 2661–2670 of 42727 articles for “Art. L. 145-37 et Art. L. 145-38”
I. - The persons who effectively manage the business of the firm within the meaning of Article L. 532-2 .4 and the members of the board of directors, the supervisory board, the management board or any…
Investment firms shall have: 1° Sound governance arrangements including, in particular, a clear organisation ensuring a well-defined, transparent and consistent division of responsibilities, effective…
An investment service provider other than an asset management company who receives an instruction to perform investment or related services on behalf of a client from another investment service provid…
I.-With a view to providing the service referred to in Article L. 321-1.2, investment service providers other than portfolio management companies shall adopt and apply procedures to ensure that client…
…g equivalent functions; 2° Persons who effectively manage the company within the meaning of Article L. 532-2(4) and who are not mentioned in 1° ; 3° All persons responsible for the procedures, systems…
Articles L. 533-11 to L. 533-15 apply taking into account the nature of the service offered or provided, the nature of the financial instrument in question, and the professional or non-professional na…
Investment services providers, market undertakings and clearing houses must provide the Banque de France with the information required to compile monetary statistics.
Portfolio management companies are prohibited from receiving deposits of funds, securities or gold from their clients.
I.-The portfolio management companies mentioned in article L. 532-9, with the exception of those which exclusively manage FIAs covered by I of article L. 214-167, FIAs covered by IV of article L. 532-…
…ther than portfolio management companies that provide the investment service referred to in Article L. 321-1.5 shall provide clients with a declaration of suitability on a durable medium prior to the…
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