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Showing 12331–12340 of 14014 articles for “Art. 2°”
…gal or economic relations that there is a risk of impairing the independence of the advice provided;2° He does not accept, unless he returns them in full to the client, any remuneration, commission or…
…r the requirements based on the K factors set out in Part 3 or Part 4 of Regulation (EU) 2019/2033; 2° The investment firm does not meet the requirements provided for in Articles L. 533-2-2 and L. 533…
…y may be : 1° A spouse, a partner linked by a civil solidarity pact, an ascendant or a descendant ; 2° An entity having a commercial activity in which a member of the board of directors, the superviso…
…for each country or territory: 1° Name of branches, nature of business and geographical location; 2° Net banking income and sales; 3° Full-time equivalent employees; 4° Profit or loss before tax; 5°…
…xecutive Officers, as well as any other person or member of a body exercising equivalent functions; 2° Persons who effectively manage the company within the meaning of Article L. 532-2(4) and who are…
…1° The significant causes and effects of risks to clients and any significant impact on own funds; 2° The significant causes and effects of risks to the market and any significant impact on own funds…
…e risks to which they are or may be exposed, or the risks that they impose or may impose on others; 2° Adequate internal control arrangements, including sound administrative and accounting procedures;…
…r one of the functions mentioned in 1° of IV and two mandates for one of the functions mentioned in 2° of IV; or 2° More than four mandates for one of the functions mentioned in 2° of IV. However, the…
…ot sufficiently covered by the liquidity requirement provided for in Part 5 of the same Regulation; 2° The investment firm does not meet the requirements provided for in Articles L. 533-2-2 and L. 533…
…ut being authorised to do so by the Member States concerned in accordance with Article L. 214-24-1 ;2° Impose restrictions on AIFM established in a third country with regard to the management of an AI…
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