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Showing 21–30 of 38474 articles for “Art. L 533-13”
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…
I.- Investment services providers other than portfolio management companies shall take all reasonable steps to obtain, when executing orders, the best possible result for their clients having regard t…
The Autorité de contrôle prudentiel et de résolution shall monitor the level of own funds that has been determined by each Class 2 investment firm in accordance with Article L. 533-2-2 and shall verif…
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 persons referred to in article L. 533-30 are prohibited from using individual hedging or insurance strategies with regard to remuneration or liability in order to limit the application of the prov…
The members of the risk committee set up pursuant to the provisions of Article L. 533-31 have the knowledge, skills and expertise to enable them to understand, manage and monitor the investment firm's…
For the application of articles L. 1226-15, L. 1234-9, L. 1235-3, L. 1235-3-1, L. 1235-11 and L. 1235-16 of the Labour Code, the determination of the indemnity payable by the employer does not take in…
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…
Investment service providers other than asset management companies that execute client orders shall monitor the effectiveness of their order execution arrangements and execution policy in order to ide…
The board 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 o…
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