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Showing 5811–5820 of 17805 articles for “Art. n° 15-16.826 et 15-16.827”
Investment service providers other than portfolio management companies may, on their own initiative or at the request of a client, treat as a non-professional client, either generally or in respect of…
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.
…s referred to in Article L. 533-30-11 to be held for a minimum period defined under the conditions set out in Article L. 533-30-1 so as to align the incentives of the persons referred to in Article L.…
…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 of the criminal record of the person concerned from the automated national criminal recor…
…finance company, a payment institution or an investment services provider, the content of which is set by order of the Minister for the Economy.A certificate signed by the person responsible for the t…
…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 derogation in accordance with Article 4(1)(a) or (…
…ook. The persons referred to in 1° and 2° of Article L. 54-10-3 shall provide evidence of their competence in the form of a curriculum vitae; 4° For the services referred to in 1° and 2° of Article L.…
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.
…ccordance with the provisions of Article D. 533-13. An investment service provider other than an asset management company may, at the request of a professional client, treat that client as an eligible…
…in which these are applied as part of the shareholder engagement policy, in particular at general meetings of companies held under the contract; 5° An assessment of the medium- and long-term performan…
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