A voting advisory service is provided by a legal person who analyses, on a professional and commercial basis, corporate documents or any other information concerning companies whose shares are admitted to trading on a regulated market, with the aim of informing the voting decisions of the shareholders of these companies by providing research and advice or by making voting recommendations.
Voting advisers shall make public the code of conduct to which they refer and report on its application. Where a voting adviser does not refer to a code of conduct or where, in referring to such a code, it departs from some of its provisions, it shall state the reason and indicate the list of provisions thus departed from and, where applicable, the provisions taken in substitution. In order to…
Any interested party may apply to the President of the Court hearing an application for 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.
Articles L. 544-3 to L. 544-5 apply to voting advisers whose registered office is in France, to voting advisers whose registered office is not in a Member State of the European Union but whose head office is in France and to voting advisers whose registered office and head office are not in a Member State of the European Union but who have a branch in France, if they provide voting…
An investment service provider may use the services of tied agents, within the meaning of 29(1) of Article 4 of Directive 2014/65/EU of 15 May 2014 and who may be natural or legal persons, to provide the following investment services, for which it is authorised: 1. The reception and transmission of orders on behalf of third parties ; 2. Guaranteed or unguaranteed investment ; 3. Investment advice. Tied agents may…
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 its name and on its behalf by its tied agents and for omissions on the part of the latter. Tied agents shall inform clients, in particular potential clients, of their status and the identity of their principal when they…
Tied agents may not receive funds or financial instruments from their principal’s customers if the principal is not a credit institution.
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 providers, must comply with conditions of good repute laid down by decree. Investment services providers that use the services of tied agents shall ensure that the latter have the general, commercial and professional knowledge and skills required to…
Tied agents as defined in article L. 545-1 are registered in the single register mentioned in article L. 546-1.
Investment services providers that use the services of tied agents must ensure that these agents are registered in accordance with Article L. 545-5.
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is a Registered Trademark of
PETROFF LAW FIRM (SELARL LEGASTRAT)
182, rue de Rivoli
75001, Paris France
RCS Paris n°814433470
Paris Bar Registration n° (Toque) C2396
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is a Registered Trademark of
PETROFF LAW FIRM (SELARL LEGASTRAT)
182, rue de Rivoli
75001, Paris France
RCS Paris n°814433470
Paris Bar Registration n° (Toque) C2396
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