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Showing 2031–2040 of 57074 articles for “Art. 298 sexdecies E and Art. 537”
An investment service provider other than an asset management company who receives an instruction to perform investment or related services on behalf of a client from another investment service provid…
I.-With a view to providing the service referred to in Article L. 321-1.2, investment service providers other than portfolio management companies shall adopt and apply procedures to ensure that client…
For the application of articles L. 1226-15, L. 1234-9, L. 1235-3, L. 1235-3-1, L. 1235-11 and L. 1235-16 of the Labour Code, the determination of the indemnity payable by the employer does not take in…
The Autorité de contrôle prudentiel et de résolution may require Class 2 investment firms and the firms referred to in Article 46(2) of Regulation (EU) 2019/2033 to publish, more than once a year, wit…
I.-In their sustainability risk policy, made public pursuant to Article 3 of the Regulation of the European Parliament and of the Council on the publication of sustainable investment and sustainabilit…
I.-In an investment firm, the following persons must at all times be of sufficiently good repute and have the knowledge, skills and experience required to perform their duties: 1° Members of the Board…
I.-Investment firms and investment holding companies with a branch or subsidiary that is a financial institution within the meaning of Article 4(1), point 26 of Regulation (EU) No 575/2013 in a Member…
Class 2 investment firms shall have in place sound, effective and comprehensive arrangements, strategies and processes for assessing and maintaining, on an ongoing basis, the amount, type and distribu…
Articles L. 533-11 to L. 533-15 apply taking into account the nature of the service offered or provided, the nature of the financial instrument in question, and the professional or non-professional na…
I. In the management of collective investments, portfolio management companies shall take all reasonable steps to obtain the best possible result in executing orders, taking into account price, cost,…
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