Article L533-2-1
Class 1 bis investment firms are subject to the provisions of articles L. 511-41 to L. 511-50-1, with the exception of I of article L. 511-45, and are not subject to the provisions of article L. 533-4…
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Showing 241–250 of 68984 articles for “Art. 222 al. 1 and al. 2”
Class 1 bis investment firms are subject to the provisions of articles L. 511-41 to L. 511-50-1, with the exception of I of article L. 511-45, and are not subject to the provisions of article L. 533-4…
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…
…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…
…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…
Investment services providers offering, recommending or marketing financial instruments: 1° Ensure that they understand the characteristics of these financial instruments and assess their compatibilit…
Digital asset services include the following services: 1° The service of holding digital assets on behalf of third parties or access to digital assets, where applicable in the form of private cryptogr…
…notion of business relationship means the professional or commercial relationship with the customer and includes, where applicable, the beneficial owner. In the case of life insurance and capitalisati…
I. - The department referred to in Article L. 561-23 may request information from the funds set up pursuant to 9° of Article 53 of Law No. 71-1130 of 31 December 1971 relating to the amount, origin an…
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