Article L465-3-5
…ally liable, under the conditions set out inarticle 121-2 of the French Criminal Code, for the offences defined in articles L. 465-1 to L. 465-3-3 of this Code shall incur, in addition to the fine set…
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Showing 3401–3410 of 60748 articles for “Art. CE 11-5-2021 n° 440044 and 440045”
…ally liable, under the conditions set out inarticle 121-2 of the French Criminal Code, for the offences defined in articles L. 465-1 to L. 465-3-3 of this Code shall incur, in addition to the fine set…
I. - Without prejudice to Articles L. 511-41-3 and L. 612-30 to L. 612-34, the Autorité de contrôle prudentiel et de résolution may order a credit institution, a class 1 bis investment firm or a finan…
Credit institutions and finance companies shall ensure that all loans granted to members of the board of directors, the supervisory board or any other body exercising equivalent supervisory functions…
I. - If the term of office of a member of the Board of Directors, the Supervisory Board or any other body exercising equivalent functions is terminated as a result of a decision by the Autorité de con…
The institutions referred to in this chapter shall indicate in their annual report the amount and characteristics of the loans they finance or distribute that meet the definition referred to in III of…
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…
…monitor the level of own funds 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 e…
Investment services providers other than portfolio management companies that use algorithmic trading in a Member State of the European Union or party to the Agreement on the European Economic Area sha…
…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.
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