Les déviances dans les services de placement : responsabilités, sanctions et moyens de prévention (notice n° 1633744)
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| fixed length control field | 04228cam a2200469 4500500 |
| 005 - DATE AND TIME OF LATEST TRANSACTION | |
| control field | 20260111115452.0 |
| 041 ## - LANGUAGE CODE | |
| Language code of text/sound track or separate title | fre |
| 042 ## - AUTHENTICATION CODE | |
| Authentication code | dc |
| 100 10 - MAIN ENTRY--PERSONAL NAME | |
| Personal name | Crête, Raymonde |
| Relator term | author |
| 245 00 - TITLE STATEMENT | |
| Title | Les déviances dans les services de placement : responsabilités, sanctions et moyens de prévention |
| 260 ## - PUBLICATION, DISTRIBUTION, ETC. | |
| Date of publication, distribution, etc. | 2010.<br/> |
| 500 ## - GENERAL NOTE | |
| General note | 33 |
| 520 ## - SUMMARY, ETC. | |
| Summary, etc. | RésuméQue se passe-t-il lorsque l’entreprise ou l’un de ses représentants dérogent aux obligations de loyauté, de transparence et de diligence qui leur incombent? Qui peut être tenu pour responsable : l’entreprise, le représentant ou les deux? Dans l’hypothèse où ces personnes sont tenues pour responsables, quelles sanctions peuvent-elles encourir? À la lumière d’exemples tirés de la jurisprudence, cet article explicite les différentes hypothèses où l’entreprise de services de placement et ses représentants peuvent engager leur responsabilité civile, administrative, disciplinaire, pénale et criminelle. L’article examine ensuite les divers types de sanctions auxquelles ces personnes s’exposent. Il fournit enfin des conseils aux employeurs en vue de prévenir ou de minimiser les manquements professionnels et, par la même occasion, le risque de poursuites et d’atteinte à leur réputation et à celle de leur personnel. Fonctions : GRH, comptabilité, finance, management, droit Secteurs : financier, valeurs mobilières, bancaire |
| 520 ## - SUMMARY, ETC. | |
| Summary, etc. | What happens when a firm or one of its representatives breaches their duty of loyalty, transparency or diligence? Who can be held accountable: the firm, the representative, or both? And if any of these parties are held accountable, what penalties can be imposed? Using examples from case law, this article seeks to clarify the different circumstances in which an investment services firm or its representatives may be subject to civil, administrative, disciplinary, penal or criminal liability. The article then goes on to examine the different types of penalties to which these parties are exposed. Finally, it provides advice to employers on how to prevent or minimize professional misconduct, and hence the risk of lawsuits and harm to their reputation as well as that of their employees. Functions: HRM, accounting, finance, management, law Sectors: financial, banking |
| 520 ## - SUMMARY, ETC. | |
| Summary, etc. | Resumen¿Qué sucede cuando la empresa o uno de sus representantes se apartan de las obligaciones de lealtad, transparencia y diligencia que le corresponden? ¿A quién se considera responsable: a la empresa, al representante o a ambos? En la hipótesis de que se considere responsables a estas personas, ¿a qué sanciones se exponen? Con ejemplos sacados de la jurisprudencia, este artículo explicita las diferentes hipótesis según las cuales la empresa de servicios de inversión y sus representantes pueden comprometer su responsabilidad civil, administrativa, disciplinaria, penal y criminal. El artículo examina luego los diversos tipos de sanciones a que se exponen estas personas. Finalmente, se proporcionan consejos a los empleadores para prevenir o minimizar las malas conductas profesionales y, al mismo tiempo, el riesgo de un proceso judicial y de perjudicar su reputación y la de su personal. Funciones: GRH, contabilidad, finanzas, administración, derecho Sectores: financiero, bancario |
| 690 ## - LOCAL SUBJECT ADDED ENTRY--TOPICAL TERM (OCLC, RLIN) | |
| Topical term or geographic name as entry element | déontologie |
| 690 ## - LOCAL SUBJECT ADDED ENTRY--TOPICAL TERM (OCLC, RLIN) | |
| Topical term or geographic name as entry element | détournement de fonds |
| 690 ## - LOCAL SUBJECT ADDED ENTRY--TOPICAL TERM (OCLC, RLIN) | |
| Topical term or geographic name as entry element | déviance |
| 690 ## - LOCAL SUBJECT ADDED ENTRY--TOPICAL TERM (OCLC, RLIN) | |
| Topical term or geographic name as entry element | fraude |
| 690 ## - LOCAL SUBJECT ADDED ENTRY--TOPICAL TERM (OCLC, RLIN) | |
| Topical term or geographic name as entry element | gouvernance |
| 690 ## - LOCAL SUBJECT ADDED ENTRY--TOPICAL TERM (OCLC, RLIN) | |
| Topical term or geographic name as entry element | intégrité |
| 690 ## - LOCAL SUBJECT ADDED ENTRY--TOPICAL TERM (OCLC, RLIN) | |
| Topical term or geographic name as entry element | négligence éthique |
| 690 ## - LOCAL SUBJECT ADDED ENTRY--TOPICAL TERM (OCLC, RLIN) | |
| Topical term or geographic name as entry element | prévention |
| 690 ## - LOCAL SUBJECT ADDED ENTRY--TOPICAL TERM (OCLC, RLIN) | |
| Topical term or geographic name as entry element | responsabilité |
| 690 ## - LOCAL SUBJECT ADDED ENTRY--TOPICAL TERM (OCLC, RLIN) | |
| Topical term or geographic name as entry element | sanctions |
| 690 ## - LOCAL SUBJECT ADDED ENTRY--TOPICAL TERM (OCLC, RLIN) | |
| Topical term or geographic name as entry element | code of ethics |
| 690 ## - LOCAL SUBJECT ADDED ENTRY--TOPICAL TERM (OCLC, RLIN) | |
| Topical term or geographic name as entry element | deviance |
| 690 ## - LOCAL SUBJECT ADDED ENTRY--TOPICAL TERM (OCLC, RLIN) | |
| Topical term or geographic name as entry element | embezzlement |
| 690 ## - LOCAL SUBJECT ADDED ENTRY--TOPICAL TERM (OCLC, RLIN) | |
| Topical term or geographic name as entry element | ethics |
| 690 ## - LOCAL SUBJECT ADDED ENTRY--TOPICAL TERM (OCLC, RLIN) | |
| Topical term or geographic name as entry element | falsification |
| 690 ## - LOCAL SUBJECT ADDED ENTRY--TOPICAL TERM (OCLC, RLIN) | |
| Topical term or geographic name as entry element | forgery |
| 690 ## - LOCAL SUBJECT ADDED ENTRY--TOPICAL TERM (OCLC, RLIN) | |
| Topical term or geographic name as entry element | fraud |
| 690 ## - LOCAL SUBJECT ADDED ENTRY--TOPICAL TERM (OCLC, RLIN) | |
| Topical term or geographic name as entry element | governance |
| 690 ## - LOCAL SUBJECT ADDED ENTRY--TOPICAL TERM (OCLC, RLIN) | |
| Topical term or geographic name as entry element | integrity |
| 690 ## - LOCAL SUBJECT ADDED ENTRY--TOPICAL TERM (OCLC, RLIN) | |
| Topical term or geographic name as entry element | theft |
| 700 10 - ADDED ENTRY--PERSONAL NAME | |
| Personal name | Naccarato, Mario |
| Relator term | author |
| 700 10 - ADDED ENTRY--PERSONAL NAME | |
| Personal name | Duclos, Cinthia |
| Relator term | author |
| 700 10 - ADDED ENTRY--PERSONAL NAME | |
| Personal name | Létourneau, Audrey |
| Relator term | author |
| 700 10 - ADDED ENTRY--PERSONAL NAME | |
| Personal name | Mabit, Clément |
| Relator term | author |
| 786 0# - DATA SOURCE ENTRY | |
| Note | Gestion | 35 | 2 | 2010-06-01 | p. 49-60 | 0701-0028 |
| 856 41 - ELECTRONIC LOCATION AND ACCESS | |
| Uniform Resource Identifier | <a href="https://shs.cairn.info/revue-gestion-2010-2-page-49?lang=fr&redirect-ssocas=7080">https://shs.cairn.info/revue-gestion-2010-2-page-49?lang=fr&redirect-ssocas=7080</a> |
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