Article L533-12-6
Investment service providers other than portfolio management companies shall ensure and be able to demonstrate to the AMF that the natural persons who provide investment advice or information on finan…
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Showing 1651–1660 of 56498 articles for “Art. 1359 and 1366”
Investment service providers other than portfolio management companies shall ensure and be able to demonstrate to the AMF that the natural persons who provide investment advice or information on finan…
…ce arrangements including, in particular, a clear organisation ensuring a well-defined, transparent and consistent division of responsibilities, effective procedures for identifying, managing, monitor…
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…
…d of directors, the supervisory board or any other body exercising equivalent supervisory functions and the persons referred to in Article L. 532-2(4) must devote sufficient time to carrying out the d…
…investment service provider who has issued the instruction remains responsible for the completeness and accuracy of the information transmitted.An investment service provider other than an asset manag…
…icle L. 321-1.2, investment service providers other than portfolio management companies shall adopt and apply procedures to ensure that client orders are executed promptly and fairly in relation to or…
For the application of articles L. 1226-15, L. 1234-9, L. 1235-3, L. 1235-3-1, L. 1235-11 and L. 1235-16 of the Labour Code, the determination of the indemnity payable by the employer does not take in…
The Autorité de contrôle prudentiel et de résolution may require Class 2 investment firms and the firms referred to in Article 46(2) of Regulation (EU) 2019/2033 to publish, more than once a year, wit…
…ability risk policy, made public pursuant to Article 3 of the Regulation of the European Parliament and of the Council on the publication of sustainable investment and sustainability risk information…
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…
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