Article L533-12
…than an asset management company to clients, including potential clients, shall be accurate, clear and not misleading. Promotional communications shall be clearly identifiable as such.II - Investment…
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Showing 1931–1940 of 56760 articles for “Art. n°² 96-17.280 and 97-13.423”
…than an asset management company to clients, including potential clients, shall be accurate, clear and not misleading. Promotional communications shall be clearly identifiable as such.II - Investment…
…ers other than portfolio management companies that design financial instruments for sale to clients and investment service providers that offer, recommend or market financial instruments are not subje…
Investment firms shall devote the necessary human and financial resources to the training of the persons mentioned in I of Article L. 533-26.
…determine the conditions under which decisions to grant, refuse or withdraw authorisation are taken and notified, as well as the reporting requirements applicable to branches authorised in accordance…
Investment services providers shall keep, in accordance with the conditions laid down in the General Regulation of the Autorité des marchés financiers, relevant information relating to all transaction…
I.-Portfolio management companies : 1° Put in place rules and procedures to ensure compliance with the provisions applicable to them, including those set out in Article 11 of Regulation (EU) No 648/20…
…provision of execution services or research services or materials, the investment service provider and the research provider enter into an agreement specifying the portion, attributable to the resear…
By way of derogation from this section, class 1 bis investment firms shall apply the provisions of articles L. 511-51 to L. 511-102.
…ve procedures, internal control mechanisms, effective risk assessment techniques, effective control and safeguard arrangements for their IT systems and risk mitigation techniques for OTC derivative co…
…ion within the meaning of Article 4(1) 47 of Regulation (EU) No 575/2013 of the European Parliament and of the Council of 26 June 2013, with the management standards determined by an order of the Mini…
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