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Showing 521–530 of 45803 articles for “Art. L 621-7 et seq.”
I.-The persons referred to in Article L. 421-7 must meet the following requirements: 1° They must devote sufficient time to performing their duties within the market undertaking. The number of mandate…
Market undertakings and their appointments committees shall call on a wide range of qualities and skills when recruiting the persons referred to in article L. 421-7 and, to this end, shall implement a…
The corporate bodies of a market undertaking made up of the persons referred to in Article L. 421-7: 1° Define and supervise the implementation of a system of governance that guarantees the efficient…
Market undertakings shall devote adequate human and financial resources to the training of the persons referred to in Article L. 421-7.
I. - Payment institutions providing the payment service referred to in 7° of II of article L. 314-1 must, at the time of authorisation, have professional civil liability insurance covering the territo…
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 may not send, directly or indirectly, by electronic means, promotional communications to clients who are likely to be non-professional, in particular potential clients, re…
Investment services providers other than portfolio management companies which use a high-frequency algorithmic trading technique shall keep an accurate and chronological record of all orders placed, i…
No variable remuneration is paid to the persons mentioned in 1° and 2° of Article L. 533-25 within an investment firm benefiting from exceptional public financial support. Variable remuneration paid t…
Lawyers and the persons mentioned in 18° of Article L. 561-2 may provide each other with information gathered for the purposes of implementing Articles L. 561-5, L. 561-5-1, L. 561-6, and L. 561-9 to…
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