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Showing 2031–2040 of 57146 articles for “Art. 617 s. and Art. 625”
…e 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 other…
…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.
…ndermines their duty to act in the best interests of their clients when providing investment services.They shall not take any action, in particular in the form of remuneration or sales targets, which…
…l de résolution unique of any additional capital requirements in accordance with Article L. 533-4-4 and any expected adjustments in accordance with Article L. 533-4-5.
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…
…ce arrangements including, in particular, a clear organisation ensuring a well-defined, transparent and consistent division of responsibilities, effective procedures for identifying, managing, monitor…
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…
…d 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 out the d…
…investment service provider who has issued the instruction remains responsible for the completeness and accuracy of the information transmitted.An investment service provider other than an asset manag…
…icle L. 321-1.2, investment service providers other than portfolio management companies shall adopt and apply procedures to ensure that client orders are executed promptly and fairly in relation to or…
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