Article L533-29-3
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…
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Showing 4931–4940 of 68819 articles for “Art. 298 sexdecies A and B”
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…
Class 2 investment firms shall have in place sound, effective and comprehensive arrangements, strategies and processes for assessing and maintaining, on an ongoing basis, the amount, type and distribu…
Articles L. 533-11 to L. 533-15 apply taking into account the nature of the service offered or provided, the nature of the financial instrument in question, and the professional or non-professional na…
I. In the management of collective investments, portfolio management companies shall take all reasonable steps to obtain the best possible result in executing orders, taking into account price, cost,…
Investment services providers, market undertakings and clearing houses must provide the Banque de France with the information required to compile monetary statistics.
Portfolio management companies are prohibited from receiving deposits of funds, securities or gold from their clients.
I.-The portfolio management companies mentioned in article L. 532-9, with the exception of those which exclusively manage FIAs covered by I of article L. 214-167, FIAs covered by IV of article L. 532-…
Portfolio management companies shall set a target for balanced representation of women and men among the teams, bodies and managers responsible for making investment decisions. The results obtained ar…
Investment firms shall ensure that all loans granted to members of the board of directors, the supervisory board or any other body exercising equivalent supervisory functions or to their related parti…
The Autorité de contrôle prudentiel et de résolution may impose on a Class 2 investment firm an additional capital requirement in excess of the minimum amount provided for by the applicable regulation…
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