Article L533-27
Investment firms shall devote the necessary human and financial resources to the training of the persons mentioned in I of Article L. 533-26.
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Showing 5691–5700 of 21962 articles for “Art. BOFiP-IS-CHAMP-10-30-§§ 320 et 330”
Investment firms shall devote the necessary human and financial resources to the training of the persons mentioned in I of Article L. 533-26.
A decree shall determine the conditions under which decisions to grant, refuse or withdraw authorisation are taken and notified, as well as the reporting requirements applicable to branches authorised…
Investment services providers shall keep, in accordance with the conditions laid down in the General Regulation of the Autorité des marchés financiers, relevant information relating to all transaction…
…h ; 3° The research for which the combined fees or joint payment is made concerns issuers whose market capitalisation, for the thirty-six month period preceding the provision of the research, did not…
By way of derogation from this section, class 1 bis investment firms shall apply the provisions of articles L. 511-51 to L. 511-102.
Investment service providers other than asset management companies shall have sound administrative procedures, internal control mechanisms, effective risk assessment techniques, effective control and…
…/2013 of the European Parliament and of the Council of 26 June 2013, with the management standards determined by an order of the Minister for the Economy and the rules relating to the holdings referre…
…of Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and, where applicable, Article 8 of Regulation (EU) No 1227/2011 of the…
Investment service providers other than asset management companies that execute client orders shall monitor the effectiveness of their order execution arrangements and execution policy in order to ide…
Investment services providers offering, recommending or marketing financial instruments: 1° Ensure that they understand the characteristics of these financial instruments and assess their compatibilit…
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