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Showing 2381–2390 of 68307 articles for “Art. 515-3 and 515-3-1”
…this section apply to the following persons:1° The credit institutions defined in Article L. 511-1 and the central bodies mentioned in Article L. 511-30 ; 2° Investment firms within the meaning of Ar…
…of significant importance are located. It shall ensure that they comply with the requirements of IV and VI of Article L. 613-35 and the regulatory provisions adopted for its application. In particular…
…of the European Union where branches of significant importance are established;3° Where applicable and subject to equivalent confidentiality obligations, to the other competent authorities referred t…
The provisions relating to the safeguarding, reorganisation and liquidation of credit institutions and investment firms set out in articles L. 613-25 to L. 613-30 and L. 211-10 do not apply to legal p…
…n. These plans shall provide for the resolution measures that may be taken pursuant to Subsection 9 and Subsection 10 of this Section when the conditions for triggering a resolution procedure mentione…
…e la législation et de la réglementation financières have the necessary time to prepare for, attend and participate in meetings. This time is treated as actual work for the purposes of determining ent…
…dividual decisions of the Autorité des marchés financiers, other than those relating to the persons and entities referred to in II of Article L. 621-9, including the penalties imposed on them, shall b…
…investment strategy, defined in Article 3 of Regulation (EU) No 596/2014 of the European Parliament and of the Council of 16 April 2014 on market abuse (Market Abuse Regulation) and repealing Directiv…
…e a breach by a member of the rules of the code of conduct referred to in the same article.Notwithstanding Articles 42 et seq. of Act 86-1067 of 30 September 1986 on freedom of communication, when the…
…their legal representative, depending on the seriousness of the breach: 1° A warning ; 2° a reprimand 3° Compulsory insertion of a notice or press release in the publication concerned; 4° Broadcast…
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