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Showing 2021–2030 of 57074 articles for “Art. 298 sexdecies E and Art. 537”
When executing client 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 t…
Investment firms providing the investment 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 c…
I. - The 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…
Class 1 bis investment firms are subject to 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…
The Autorité de contrôle prudentiel et de résolution shall notify the Conseil de résolution unique of any additional capital requirements in accordance with Article L. 533-4-4 and any expected adjustm…
Investment service providers other than portfolio management companies shall ensure and be able to demonstrate to the AMF that the natural persons who provide investment advice or information on finan…
Investment firms shall have: 1° Sound governance arrangements including, in particular, a clear organisation ensuring a well-defined, transparent and consistent division of responsibilities, effective…
I.-Investment firms shall have robust strategies, policies, processes and systems in place to identify, measure, manage and monitor the following: 1° The significant causes and effects of risks to cli…
The board of directors, the supervisory board or any other body exercising equivalent supervisory functions and the persons referred to in Article L. 532-2(4) must devote sufficient time to carrying o…
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