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Showing 1651–1660 of 56494 articles for “Art. 57A and 57B”
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…
…the nature of the service offered or provided, the nature of the financial instrument in question, and the professional or non-professional nature of the client, particularly the potential client. A…
…ossible result in executing orders, taking into account price, cost, speed, likelihood of execution and settlement, size, nature of the order or any other considerations relating to the execution of t…
Investment services providers, market undertakings and clearing houses must provide the Banque de France with the information required to compile monetary statistics.
Portfolio management companies are prohibited from receiving deposits of funds, securities or gold from their clients.
…icle L. 532-9 or which manage other collective investments mentioned in article L. 214-191, draw up and publish a shareholder engagement policy describing how they integrate their role as shareholder…
Portfolio management companies shall set a target for balanced representation of women and men among the teams, bodies and managers responsible for making investment decisions. The results obtained ar…
…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…
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