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Showing 4921–4930 of 68819 articles for “Art. 298 sexdecies A and B”
Investment service providers other than portfolio management companies shall ensure and be able to demonstrate to the AMF that the natural persons who provide investment advice or information on finan…
Investment firms shall have: 1° Sound governance arrangements including, in particular, a clear organisation ensuring a well-defined, transparent and consistent division of responsibilities, effective…
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…
The board of directors, the supervisory board or any other body exercising equivalent supervisory functions and the persons referred to in Article L. 532-2(4) must devote sufficient time to carrying o…
An investment service provider other than an asset management company who receives an instruction to perform investment or related services on behalf of a client from another investment service provid…
I.-With a view to providing the service referred to in Article L. 321-1.2, investment service providers other than portfolio management companies shall adopt and apply procedures to ensure that client…
For the application of articles L. 1226-15, L. 1234-9, L. 1235-3, L. 1235-3-1, L. 1235-11 and L. 1235-16 of the Labour Code, the determination of the indemnity payable by the employer does not take in…
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…
I.-In their sustainability 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 sustainabilit…
I.-In an investment firm, the following persons must at all times be of sufficiently good repute and have the knowledge, skills and experience required to perform their duties: 1° Members of the Board…
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