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Showing 3991–4000 of 43747 articles for “Art. s. L. 145-19 et L. 145-20”
…Any person who collects funds for this purpose; 3° Any person responsible for managing the said assets. II. - Any person who offers one or more clients or potential clients the opportunity to acquire…
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…
…ave the purpose or effect of favouring their own interests, or those of their shareholders, to the detriment of accurate information.
…interim measures to order a voting consultant to make public the information referred to in article L. 544-4, subject to a fine where appropriate.
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…
…he quality of execution of transactions executed within them. These periodic reports shall include detailed information on the price, costs, speed and likelihood of execution for the various financial…
Financial investment advisers must comply with the provisions of this subsection at all times. Financial investment advisers shall inform the association to which they belong of any change in the info…
…rtfolio management companies, legal entities that manage the AIFs mentioned in 3° of III of Article L. 214-24, managers of European venture capital funds covered by Regulation (EU) No 345/2013 of the…
Natural persons who are tied agents of investment service providers, as well as natural persons who have the power to manage or administer legal persons authorised as tied agents of investment service…
A provider of equity crowdfunding services wishing to engage in the activity referred to in Article L. 547-4 shall submit an application to the Autorité des marchés financiers, either when applying fo…
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