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Showing 91–100 of 23814 articles for “Art. D 533-5”
Discretionary pension 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…
The provisions of Articles R. 533-1, R. 612-34, R. 612-36 to R. 612-50 and R. 613-10 to R. 613-23 also apply to the persons mentioned in Article 4 of Article L. 440-2.The Autorité de contrôle prudenti…
The Autorité de contrôle prudentiel et de résolution may require Class 2 and Class 3 investment firms to make additional or more frequent disclosures than those provided for in Title III of Book V or…
Investment services providers offering, recommending or marketing financial instruments: 1° Ensure that they understand the characteristics of these financial instruments and assess their compatibilit…
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…
The Autorité de contrôle prudentiel et de résolution shall assess and monitor, taking into account the size, risk profile and business model of the investment firm, the systems, strategies and procedu…
I.-In an investment firm, the following persons must at all times be of sufficiently good repute and have the knowledge, skills and experience required to perform their duties: 1° Members of the Board…
Sub-sections 2, 3 and 4 of this section do not apply to class 3 investment firms. Where a class 2 investment firm finds that it qualifies as a class 3 investment firm, subsections 2, 3 and 4 cease to…
I.-Investment firms shall have robust strategies, policies, processes and systems in place to identify, measure, manage and monitor the following: 1° The significant causes and effects of risks to cli…
Investment services providers other than portfolio management companies that use algorithmic trading : 1° Have effective systems and risk controls appropriate to their business to ensure that their tr…
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