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Showing 1951–1960 of 65949 articles for “Art. 1216 al. 2 et 3 · Cass. com. 28 June 2017 n° 15-17.394 · Cass. com. 24 June 1997 · Cass. com. 4 May 2010 n° 09-13.118”
…of which is an investment firm which is not a financial holding company within the meaning of point 20 of Article 4(1) of Regulation (EU) No 575/2013. An EU parent investment holding company is an inv…
…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 professional…
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…
…ment 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 board o…
…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…
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…
…n their own best interests, taking into account in particular any direct or indirect advantage that may result. It shall contain clauses designed to: 1° Define the forms that the support may take ; 2°…
…d by the implementation of resolution measures, the Chairman of the Autorité de contrôle prudentiel et de résolution, at the request of the collège de résolution, may ask any court to stay proceedings…
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