Article R533-18-1
When they have a website, investment firms shall use it to present the systems implemented to ensure compliance with the requirements laid down in Article L. 533-29-3, this section and the regulatory…
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Showing 111–120 of 69341 articles for “Art. L 533-12-7 and L 541-9-1”
When they have a website, investment firms shall use it to present the systems implemented to ensure compliance with the requirements laid down in Article L. 533-29-3, this section and the regulatory…
I. - For the purposes of I bis of Article L. 533-13, professional clients wishing to benefit from the guarantees provided for therein shall inform the investment services provider either electronicall…
I.-This article applies to entities subject to Article L. 533-22-1. For the credit institutions and investment firms mentioned in Article L. 511-4-3, this article applies to portfolio management activ…
Each of the persons who effectively directs the business of the undertaking within the meaning of Article L. 532-2 and each member of the Board of Directors, the Supervisory Board, the Management Boar…
I. - The rules limiting the number of directorships provided for in II to IV of article L. 533-26 apply within an investment firm that meets one of the following conditions:1° The balance sheet total,…
The financial futures instruments referred to in the second paragraph of article R. 533-2 are those referred to in 2, 3, 4, 7 and 8 of I of article D. 211-1 A.
The following have the status of eligible counterparties within the meaning of Article L. 533-20: 1. a) The credit institutions referred to in Article L. 511-9 ; b) The investment firms referred to in…
Investment firms are required to close their financial year on 31 December. However, the Autorité de contrôle prudentiel et de résolution may authorise investment firms to derogate from this rule for…
Investment service providers other than portfolio management companies may, on their own initiative or at the request of a client, treat as a professional or non-professional client, either generally…
I. - The Autorité de contrôle prudentiel et de résolution shall collect, under the conditions defined by order of the Minister responsible for the economy, the information referred to in c and d of Ar…
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