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Showing 2581–2590 of 64414 articles for “Art. 2 and 202 ter”
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…
…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.-Investment firms and investment holding companies with a branch or subsidiary that is a financial institution within the meaning of Article 4(1), point 26 of Regulation (EU) No 575/2013 in a Member…
…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…
…her than a portfolio management company informs clients that the service referred to in Article L. 321-1 (5) is provided independently :1° It evaluates a sufficient range of financial instruments avai…
…contrôle prudentiel et de résolution 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…
…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…
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