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Showing 1641–1650 of 56498 articles for “Art. 1359 and 1366”
…However, if the AIFM modifies its marketing strategy within two years of its initial authorisation and if this new strategy, if it had been the initial marketing strategy, would have had the effect o…
…the Autorité de contrôle prudentiel et de résolution shall consult the European Banking Authority and the relevant competent authorities of the other Member States of the European Union or the other…
…investment firm to comply with a specific liquidity requirement where, on the basis of the controls and examinations carried out in accordance with Article L. 533-2-3, it finds that a Class 2 investme…
Without prejudice to the application of Section 8 of Chapter I of Title I of Book V, Articles II and III of Article L. 533-29 apply to credit institutions authorised to provide one or more of the inve…
…ent orders, investment services providers other than portfolio management companies shall establish and publish once a year, for each category of financial instrument, a ranking of the top five execut…
…nt services referred to in Article L. 321-1 (4) are subject to the provisions of Articles L. 533-22 and L. 533-22-1 in the same way as the portfolio management companies referred to therein.
…e persons who effectively manage the business of the firm within the meaning of Article L. 532-2 .4 and the members of the board of directors, the supervisory board, the management board or any other…
…the provisions of articles L. 511-41 to L. 511-50-1, with the exception of I of article L. 511-45, and are not subject to the provisions of article L. 533-4.
Investment service providers, other than asset management companies, shall ensure that they do not remunerate or assess the performance of their employees in a way that undermines their duty to act in…
…l de résolution unique of any additional capital requirements in accordance with Article L. 533-4-4 and any expected adjustments in accordance with Article L. 533-4-5.
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