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Showing 81–90 of 64440 articles for “Art. 1844 al. 3 and 4”
…only have one holder. The PME innovation account gives rise to the opening of a securities account and an associated cash account. The holder of the securities account may contribute securities under…
…hose price or value has an effect on the price or value of a financial instrument referred to in 1°;3° The units mentioned inarticle L. 229-7 of the Environmental Code.II. - Articles L. 465-3-1 and L.…
Article L. 533-22-1 is applicable to credit institutions and investment firms for their activities of portfolio management on behalf of third parties and investment advice within the meaning of Articl…
I.-The Autorité de contrôle prudentiel et de résolution may order a person referred to in 1°, 4°, 9° and 10° of A of I of Article L. 612-2, a class 1 bis investment firm or, with the exception of firm…
…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 investment holdin…
…that provides payment services, a payment institution, another intermediary in banking transactions and payment services, a participative finance intermediary, a participative finance service provider…
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…
The remuneration of senior executives in charge of risk management and compliance is directly supervised by the remuneration committee referred to in article L. 533-31-4 or, if no such committee has b…
…set up a compensation committee. Branches of third-country undertakings referred to in Article L. 532-48 that are large in relation to their size are required to provide evidence of the existence of…
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…
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