European Business Law
Auteur : Louis Vogel
Sommaire de l’ouvrage
Introduction
Title 1: Free movement of goods
Chapter 1: Scope of application
Chapter 2: Prohibition of restrictions of the freedom of establishment and freedom to provide services
Chapter 3: Exceptions to the prohibition
Section 1: Recognition of Qualifications Directive
Section 2: Services Directive
A: Banking
1°: Context
2°: Scope of application and definitions
3°: Conditions of authorization
4°: Freedom of establishment and freedom to provide services
6°: Prudential supervision
C: Insurance
II: Audiovisual media services
III: Lawyers
Title 3: Free movement of capital
Part 2: Completion of the internal market
125. Operating conditions
1 minute de lecture
Investment firms are under a minimum obligation to comply at all times with the conditions for initial authorization requirement and to notify the competent authority of any material changes to the conditions (Directive No 2014/65, Art. 21). Investment firms must also take all reasonable steps to identify conflicts of interest between themselves, including their managers, employees and tied agents …