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Showing 7601–7610 of 59015 articles for “Art. 10 and 11”
Investment firms are bound by the obligations of Articles L. 511-35, L. 511-36, L. 511-37 and L. 511-39. They shall have sound accounting procedures.The previous paragraph applies to portfolio managem…
…instruments available on the market, which must be sufficiently diversified in terms of their type and their issuers or suppliers to ensure that the client's investment objectives can be met appropri…
…ervice relating to mortgage bonds issued specifically to obtain the financing for the property loan and with identical terms and conditions to the latter, so that the loan can be repaid, refinanced or…
…provided to them. The report shall include periodic communications to clients depending on the type and complexity of the financial instruments concerned and the nature of the service provided to clie…
A decree of the Conseil d'Etat shall specify the conditions of application of this sub-section.
…he categories of contracts defined by the General Regulation of the Autorité des marchés financiers and having one of the following characteristics:1° The maximum risk is not known at the time of subs…
The Autorité de contrôle prudentiel et de résolution may require Class 2 and Class 3 investment firms to make additional or more frequent disclosures than those provided for in Title III of Book V or…
I. - The portfolio management companies of the AIFs mentioned in 1° and 2° of II of this article and the portfolio management companies of UCITS determine the remuneration policies and practices of th…
…tion may decide to apply the requirements of Regulation (EU) No 575/2013 of the European Parliament and of the Council of 26 June 2013, in accordance with point (c) of the first subparagraph of Articl…
…unds that has been determined by each Class 2 investment firm in accordance with Article L. 533-2-2 and shall verify that it maintains a level of own funds sufficiently in excess of the requirements s…
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