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Showing 1831–1840 of 15298 articles for “Art. s. 2003 et seq.”
…ncial instruments for sale to clients and investment service providers that offer, recommend or market financial instruments are not subject to the obligations set out in Article L. 533-24 and 1° to 3…
Investment firms shall devote the necessary human and financial resources to the training of the persons mentioned in I of Article L. 533-26.
A decree shall 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…
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…
…rules and procedures to ensure compliance with the provisions applicable to them, including those set out in Article 11 of Regulation (EU) No 648/2012 of the European Parliament and of the Council of…
…h ; 3° The research for which the combined fees or joint payment is made concerns issuers whose market capitalisation, for the thirty-six month period preceding the provision of the research, did not…
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.
Investment service providers other than asset management companies shall have sound administrative procedures, internal control mechanisms, effective risk assessment techniques, effective control and…
…/2013 of the European Parliament and of the Council of 26 June 2013, with the management standards determined by an order of the Minister for the Economy and the rules relating to the holdings referre…
…of Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and, where applicable, Article 8 of Regulation (EU) No 1227/2011 of the…
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