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Showing 4031–4040 of 43747 articles for “Art. s. L. 145-19 et L. 145-20”
…of Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments. The frequent and systematic nature is measured by the number of OTC tr…
Financial investment advisers are subject to the disqualifications set out in article L. 500-1.
Tied agents may not receive funds or financial instruments from their principal's customers if the principal is not a credit institution.
I. - Banking and payment services intermediaries as defined in article L. 519-1, financial investment advisors as defined in article L. 541-1, tied agents as defined in article L. 545-1 and equity fin…
…l civil liability in the event of a breach of their professional obligations, as defined in article L. 548-6. II. - A decree lays down the conditions for application of this article, in particular the…
…manager by a court decision taken after obtaining the opinion of the Autorité des marchés financiers. The provisions of article L. 823-3-1 of the Commercial Code are applicable to intermediaries in m…
…informed of the results of the offer and, where applicable, of the organisation of a secondary market for the tokens in accordance with the procedures specified in the General Regulations of the Auto…
…s chapter. The minimum level of cover that must be provided by professional indemnity insurance is set by decree, depending on the legal form in which the advisory activity is carried out and the prod…
Tied agents as defined in article L. 545-1 are registered in the single register mentioned in article L. 546-1.
…idden for any person other than one of the persons mentioned in the first paragraph of I of Article L. 546-1 to use a name, a company name, an advertisement or, in general, expressions that lead to th…
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