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Showing 3201–3210 of 66668 articles for “Art. 387-1 and 505”
The allocation of variable components of total remuneration within the investment firm takes account of all the risks to which it is or is likely to be exposed.
…of financial instruments or methods that facilitate non-compliance with the provisions of Titles I and III of Book V of this Code or with Regulation (EU) 2019/2033.
The persons referred to in article L. 533-30 are prohibited from using individual hedging or insurance strategies with regard to remuneration or liability in order to limit the application of the prov…
Within investment firms of significant importance in relation to their size and in accordance with criteria relating to the level of remuneration of the individual, at least half of the variable remun…
…on benefits as defined in Article 4(1) 73 of Regulation (EU) No 575/2013 of the European Parliament and of the Council of 26 June 2013 shall be consistent with the economic strategy, objectives, value…
Investment services providers that use the services of tied agents must ensure that these agents are registered in accordance with Article L. 545-5.
…rectors, the supervisory board or any other body exercising equivalent supervisory functions adopts and regularly reviews the remuneration policy and assumes overall responsibility for supervising its…
In investment firms of significant importance in terms of their size and according to criteria relating to the level of remuneration of the individual, the payment of a portion at least equal to 40% o…
…whether: 1° The persons who effectively manage the service provider are of sufficiently good repute and are competent to perform their duties; 2° The natural persons who either hold, directly or indir…
…rticle L. 54-10-2. Any person who is not registered as a provider of the services referred to in 1° and 4° above is prohibited from using a name, company name, advertising or any other process that gi…
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