Article L533-27
Investment firms shall devote the necessary human and financial resources to the training of the persons mentioned in I of Article L. 533-26.
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Showing 2661–2670 of 58573 articles for “Art. 150 VI and 150 VM”
Investment firms shall devote the necessary human and financial resources to the training of the persons mentioned in I of Article L. 533-26.
…determine the conditions under which decisions to grant, refuse or withdraw authorisation are taken and notified, as well as the reporting requirements applicable to branches authorised in accordance…
Investment services providers shall keep, in accordance with the conditions laid down in the General Regulation of the Autorité des marchés financiers, relevant information relating to all transaction…
I.-Portfolio management companies : 1° Put in place rules and procedures to ensure compliance with the provisions applicable to them, including those set out in Article 11 of Regulation (EU) No 648/20…
I.-The provision by a third party of research equipment or services to investment service providers, other than portfolio management companies, providing investment or related services to clients, sha…
By way of derogation from this section, class 1 bis investment firms shall apply the provisions of articles L. 511-51 to L. 511-102.
Investment service providers other than asset management companies shall have sound administrative procedures, internal control mechanisms, effective risk assessment techniques, effective control and…
…ion within the meaning of Article 4(1) 47 of Regulation (EU) No 575/2013 of the European Parliament and of the Council of 26 June 2013, with the management standards determined by an order of the Mini…
When investment service providers other than portfolio management companies trade over-the-counter financial instruments that are economically equivalent to commodity derivatives, units referred to in…
Investment services providers other than portfolio management companies that use algorithmic trading in a Member State of the European Union or party to the Agreement on the European Economic Area sha…
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