Article L533-27-1
…xercising equivalent supervisory functions or to their related parties are appropriately documented and made available to the Autorité de contrôle prudentiel et de résolution upon request. For the pur…
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Showing 10721–10730 of 12160 articles for “Art. 1° and 2°”
…xercising equivalent supervisory functions or to their related parties are appropriately documented and made available to the Autorité de contrôle prudentiel et de résolution upon request. For the pur…
I.-Investment firms and investment holding companies with a branch or subsidiary that is a financial institution within the meaning of Article 4(1), point 26 of Regulation (EU) No 575/2013 in a Member…
I.-In an investment firm, the following persons must at all times be of sufficiently good repute and have the knowledge, skills and experience required to perform their duties: 1° Members of the Board…
I.-Investment firms shall have robust strategies, policies, processes and systems in place to identify, measure, manage and monitor the following: 1° The significant causes and effects of risks to cli…
Investment firms shall have: 1° Sound governance arrangements including, in particular, a clear organisation ensuring a well-defined, transparent and consistent division of responsibilities, effective…
…e persons who effectively manage the business of the firm within the meaning of Article L. 532-2 .4 and the members of the board of directors, the supervisory board, the management board or any other…
…investment firm to comply with a specific liquidity requirement where, on the basis of the controls and examinations carried out in accordance with Article L. 533-2-3, it finds that a Class 2 investme…
The Autorité des marchés financiers may, at the request of the European Securities and Markets Authority:1° Prohibit the marketing, in the European Union, of units or shares of AIFs managed by manager…
…t the AIFM may rely on the provisions of Article L. 532-31, it shall notify the European Securities and Markets Authority without delay. The AMF shall provide the following information to support its…
The AIFM referred to in Article L. 532-30 shall comply with the legislative and regulatory provisions applicable to portfolio management companies, with the exception of Subsection 2 of Section 5 of C…
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