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Showing 3241–3250 of 66692 articles for “Art. 727-1 and 728”
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…
…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…
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…
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…
…ability risk policy, made public pursuant to Article 3 of the Regulation of the European Parliament and of the Council on the publication of sustainable investment and sustainability risk information…
…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…
…instruments available on the market, which must be sufficiently diversified in terms of their type and their issuers or suppliers to ensure that the client's investment objectives can be met appropri…
…he categories of contracts defined by the General Regulation of the Autorité des marchés financiers and having one of the following characteristics:1° The maximum risk is not known at the time of subs…
…other than portfolio management companies that use algorithmic trading : 1° Have effective systems and risk controls appropriate to their business to ensure that their trading systems: a) Are resilie…
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