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Showing 1641–1650 of 14416 articles for “Art. 6e et 5e ch.”
The Autorité de contrôle prudentiel et de résolution may require a Class 2 or Class 3 investment firm to comply with a specific liquidity requirement where, on the basis of the controls and examinatio…
Without prejudice to the application of Section 8 of Chapter I of Title I of Book V, Articles II and III of Article L. 533-29 apply to credit institutions authorised to provide one or more of the inve…
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…
…ndates for one of the functions mentioned in 2° of IV. However, the Autorité de contrôle prudentiel et de résolution may, taking into account the particular situation and the nature, scale and complex…
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…
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