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Showing 1271–1280 of 60761 articles for “Art. 6 and 7”
For the purposes of this section, "small and medium-sized enterprises" means companies whose average market capitalisation has been less than an amount set by decree on the basis of end-of-calendar-ye…
…r meets the conditions on which recognition was granted; 4° If the market undertaking has seriously and repeatedly infringed the provisions applicable to it.
The operator of the organised trading system may use an investment services provider other than a portfolio management company to act as a market maker within the meaning of 2° of Article L. 531-2 on…
In all cases, members of a clearing house undertake to fulfil, vis-à-vis the clearing house, all obligations arising from transactions entered in the name of third parties in their accounts. Payment o…
…s applicable to them, the prohibitions defined in Article L. 511-5 do not apply to the institutions and services listed in Article L. 518-1, nor to undertakings governed by the Insurance Code, nor to…
Credit institutions and finance companies shall set up a risk management function that is independent of operational functions and has adequate resources to enable it to carry out its mission.Credit i…
If necessary, in the event of changes in the risks affecting or likely to affect the credit institution or finance company, the head of the risk management function may report directly to the Board of…
…d of Directors, the Supervisory Board or any other body exercising equivalent supervisory functions and the persons mentioned in article L. 511-13 are required to devote sufficient time to carrying ou…
…y board or any other body exercising equivalent supervisory functions shall monitor the publication and communication process and the quality and reliability of the information to be published and com…
…nditions under which member-policyholders may withdraw from the company, have their shares redeemed and be released from their commitments.
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