Article L533-12-5
Investment service providers, other than asset management companies, shall ensure that they do not remunerate or assess the performance of their employees in a way that undermines their duty to act in…
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Showing 2731–2740 of 61415 articles for “Art. 325-5 and 325-6”
Investment service providers, other than asset management companies, shall ensure that they do not remunerate or assess the performance of their employees in a way that undermines their duty to act in…
…unds that has been determined by each Class 2 investment firm in accordance with Article L. 533-2-2 and shall verify that it maintains a level of own funds sufficiently in excess of the requirements s…
…ntact point, within the meaning of Article 79(1) of Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments, of the trading platform conce…
…of investment firms makes a distinction, based on clear criteria, between basic fixed remuneration and variable remuneration. Basic fixed remuneration primarily reflects professional experience in re…
Investment services providers that use the services of tied agents must ensure that these agents are registered in accordance with Article L. 545-5.
A decree of the Conseil d'Etat shall lay down the conditions for the application of this sub-section.
…which is set by the General Regulation of the Autorité des marchés financiers; 2° Adequate security and internal control arrangements; 3° A resilient and secure IT system; 4° A system for managing con…
…ship, the persons referred to in Article L. 561-2 shall collect information relating to the purpose and nature of the relationship and any other relevant information. They shall update this informatio…
…the European Banking Authority, the competent central banks of the European System of Central Banks and the European Systemic Risk Board. It shall provide them with all the information necessary for t…
…ty within the meaning of Article 4(1)(40) of Regulation (EU) No 575/2013 of the European Parliament and of the Council of 26 June 2013 relating to the required level of own funds or to the measures to…
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