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Showing 4051–4060 of 14416 articles for “Art. 6e et 5e ch.”
…concerned comply with the obligations relating to training and continuing professional development set out in articles L. 314-24 and R. 519-15-1. It verifies that the training courses referred to in a…
The amount stipulated in the last paragraph of article L. 526-19 is set at 100,000 euros.
…n authorisation as an investment firm, the applicant shall send the Autorité de contrôle prudentiel et de résolution its application drawn up in accordance with the conditions laid down in the Delegat…
…tified project must also include a description of the risk management process implemented by the asset management company and a description of the procedures and methods for handling complaints.At the…
…le L. 532-48 shall report the following information annually to the Autorité de contrôle prudentiel et de résolution, which shall inform the Autorité des marchés financiers: 1° The scale and scope of…
…apply to the persons mentioned in Article 4 of Article L. 440-2.The Autorité de contrôle prudentiel et de résolution may authorise the persons referred to in the previous paragraph and investment firm…
…bject to the requirement of good repute referred to in articles L. 500-1, L. 519-3-3 and R. 519-6 meet this requirement. To this end, any person applying for membership or renewal thereof shall provid…
Following its audits, the association recommends any compliance measures to its members and ensures that they are followed up.
The Autorité de contrôle prudentiel et de résolution shall immediately inform the public of the withdrawal of authorisation by means of a press release posted on its website. It will also inform the b…
…nd without prejudice to the provisions of I ofArticle L. 531-6, the Autorité de contrôle prudentiel et de résolution shall be informed in advance of any proposed changes to the financial instruments a…
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