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Showing 1711–1720 of 56494 articles for “Art. 57A and 57B”
…he risk committee set up pursuant to the provisions of Article L. 533-31 have the knowledge, skills and expertise to enable them to understand, manage and monitor the investment firm's risk strategy a…
…o manage or administer legal persons authorised as financial investment advisers, must meet the age and good repute requirements set by decree, as well as the professional competence requirements set…
…1-4 must comply with the rules of conduct referred to in Article L. 541-8-1, which they may specify and supplement.
…ces of tied agents, within the meaning of 29(1) of Article 4 of Directive 2014/65/EU of 15 May 2014 and who may be natural or legal persons, to provide the following investment services, for which it…
An investment service provider that uses a tied agent shall take appropriate steps to ensure that the activities of the tied agent outside the scope of this Chapter do not adversely affect the activit…
For the purposes of Article 27 of Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Regulation (EU) No 648/2012,…
…ge the property themselves or where the contract offers them the option of repossession or exchange and the revaluation of the capital invested; 2° Any person who collects funds for this purpose; 3° A…
The remuneration of senior executives in charge of risk management and compliance is directly supervised by the remuneration committee referred to in article L. 533-31-4 or, if no such committee has b…
Where performance is taken into account, the variable remuneration granted and paid to the categories of staff referred to in Article L. 533-30 shall be determined on the basis of a combined assessmen…
A decree in the Conseil d'Etat shall lay down the conditions for the application of this sub-section.
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