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Showing 241–250 of 64513 articles for “Art. L. 133-4 et R. 133-3”
An investment holding company is a financial institution the subsidiaries of which are exclusively or mainly investment firms or financial institutions, at least one of which is an investment firm whi…
…n with its lending activities or a management company referred to in the first paragraph of Article L. 519-2, in particular pursuant to a mandate issued to him, the pecuniary consequences of the profe…
I.-The Autorité de contrôle prudentiel et de résolution may require a Class 2 or Class 3 investment firm to take, at an early stage, any measures necessary to address any of the following issues: 1° T…
…nagement and compliance is directly supervised by the remuneration committee referred to in article L. 533-31-4 or, if no such committee has been set up, by the board of directors, the supervisory boa…
…rectors, the supervisory board or any other body exercising equivalent supervisory functions shall set up a compensation committee. Branches of third-country undertakings referred to in Article L. 532…
The supervisory authorities referred to in 3° to 16° of I of Article L. 561-36 shall put in place procedures to ensure that any failure to comply with the obligations defined in this Title and supervi…
The opening of compulsory liquidation proceedings against a credit institution, investment firm or finance company entails, depending on the case, the filing of an application for withdrawal of author…
…uthority ;3° The resolution authorities of the other Member States of the European Union;4° The competent authorities, within the meaning of Article 4(1)(40) of Regulation (EU) No 575/2013 of the Euro…
The Autorité de contrôle prudentiel et de résolution may carry out on-site inspections of branches of the investment firms referred to in Article L. 532-18-1 under the conditions laid down by decree o…
…igned to: 1° Define the forms that the support may take ; 2° Identify the remuneration received in return for granting such support and set the rules for calculating it; 3° Define the conditions under…
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