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Showing 1921–1930 of 15236 articles for “Art. s. 496 et 504”
The board of directors, the supervisory board or any other body exercising equivalent supervisory functions adopts and regularly reviews the remuneration policy and assumes overall responsibility for…
…al activities of its members, representing them collectively and defending their rights and interests. II -With a view to the financial investment adviser becoming a member, the association will check…
…also required to inform this body as soon as possible if they no longer comply with these conditions.II. - Failure to comply with the conditions governing access to and practice of this activity auto…
The conditions set out in Chapters II, IV and V of Regulation (EU) 2020/1503 of 7 October 2020 are applicable to the provision of the services mentioned in Article L. 547-4, provided that the project…
Natural persons who direct or manage an intermediary in participative financing must meet the conditions of good repute and professional competence laid down by decree in the Conseil d'Etat.
…to 40% of the variable part of the total remuneration is deferred for a period of three to five years. The duration of the deferral is set taking into account the length of the investment firm's busin…
…de evidence of the existence of a risk committee or a system for achieving the same objectives, competent for these branches. The criteria for materiality according to which investment firms are requi…
…ssionally, taking into account the rights and interests of their clients, including potential clients. To this end, they shall take and document all reasonable measures to detect and prevent the risks…
…services in France, shall be registered by the Autorité des marchés financiers, which shall check whether: 1° The persons who effectively manage the service provider are of sufficiently good repute an…
Any person who has not been registered with the Autorité des marchés financiers may not provide the services referred to in 1° to 4° of Article L. 54-10-2. Any person who is not registered as a provid…
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