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Showing 2701–2710 of 66331 articles for “Art. 1844-5 and C. com. Art. L. 223-4”
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…
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…
…other than portfolio management companies that use algorithmic trading : 1° Have effective systems and risk controls appropriate to their business to ensure that their trading systems: a) Are resilie…
…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…
…ss the payment or benefit is intended to enhance the quality of the service concerned to the client and is not detrimental to compliance with the service provider's obligation to act honestly, fairly…
…east one credit institution, investment firm or financial institution within the meaning of Article L. 511-21 as a subsidiary or which have a holding in such an institution or firm are required to com…
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…
…hall 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…
Financial investment advisers as defined in article L. 541-1 are registered in the single register mentioned in article L. 546-1.
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