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Showing 1671–1680 of 56495 articles for “Art. 1380 and 1381”
…xercising equivalent supervisory functions or to their related parties are appropriately documented and made available to the Autorité de contrôle prudentiel et de résolution upon request. For the pur…
…onal capital requirement in excess of the minimum amount provided for by the applicable regulations and require the application to its assets of a specific provisioning policy or a specific treatment…
Investment firms are bound by the obligations of Articles L. 511-35, L. 511-36, L. 511-37 and L. 511-39. They shall have sound accounting procedures.The previous paragraph applies to portfolio managem…
…instruments available on the market, which must be sufficiently diversified in terms of their type and their issuers or suppliers to ensure that the client's investment objectives can be met appropri…
…ervice relating to mortgage bonds issued specifically to obtain the financing for the property loan and with identical terms and conditions to the latter, so that the loan can be repaid, refinanced or…
…provided to them. The report shall include periodic communications to clients depending on the type and complexity of the financial instruments concerned and the nature of the service provided to clie…
A decree of the Conseil d'Etat shall specify the conditions of application of this sub-section.
Portfolio management companies and investment services providers that provide the investment service referred to in 4 of Article L. 321-1 employ :1° A method of risk management on behalf of third part…
When providing investment and investment-related services to clients, investment service providers other than asset management companies shall act honestly, fairly and professionally, in the best inte…
…he categories of contracts defined by the General Regulation of the Autorité des marchés financiers and having one of the following characteristics:1° The maximum risk is not known at the time of subs…
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