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Showing 5801–5810 of 65175 articles for “Art. 1397 al. 9 and Art. 1341-2”
…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…
…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…
…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…
By way of derogation from this section, class 1 bis investment firms shall apply the provisions of articles L. 511-51 to L. 511-102.
…es that execute client orders shall monitor the effectiveness of their order execution arrangements and execution policy in order to identify and address any weaknesses. In particular, they shall regu…
…ces providers offering, recommending or marketing financial instruments: 1° Ensure that they understand the characteristics of these financial instruments and assess their compatibility with the needs…
The Autorité de contrôle prudentiel et de résolution shall assess and monitor, taking into account the size, risk profile and business model of the investment firm, the systems, strategies and procedu…
…equivalent supervisory functions on matters concerning the investment firm's overall risk strategy and overall risk appetite, both current and future. It assists the board of directors, the superviso…
…assets, where applicable in the form of private cryptographic keys, with a view to holding, storing and transferring digital assets; 2° The service of buying or selling digital assets in legal tender;…
The implementation of the remuneration policy is subject, at least once a year, to a central and independent internal assessment in the exercise of supervisory functions. In the branches of third-coun…
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