Article L533-26
…e persons who effectively manage the business of the firm within the meaning of Article L. 532-2 .4 and the members of the board of directors, the supervisory board, the management board or any other…
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Showing 7771–7780 of 70631 articles for “Art. I-1 and I-2”
…e persons who effectively manage the business of the firm within the meaning of Article L. 532-2 .4 and the members of the board of directors, the supervisory board, the management board or any other…
…ce arrangements including, in particular, a clear organisation ensuring a well-defined, transparent and consistent division of responsibilities, effective procedures for identifying, managing, monitor…
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…
Portfolio management companies are prohibited from receiving deposits of funds, securities or gold from their clients.
…icle L. 532-9 or which manage other collective investments mentioned in article L. 214-191, draw up and publish a shareholder engagement policy describing how they integrate their role as shareholder…
A decree of the Conseil d'Etat shall specify the conditions of application of this sub-section.
…io management companies which design financial instruments for sale to clients : 1° Maintain, apply and review a validation process for each financial instrument and for significant adaptations of exi…
Investment firms shall devote the necessary human and financial resources to the training of the persons mentioned in I of Article L. 533-26.
…ve procedures, internal control mechanisms, effective risk assessment techniques, effective control and safeguard arrangements for their IT systems and risk mitigation techniques for OTC derivative co…
…cles L. 533-11 to L. 533-14, with the exception of III bis of article L. 533-12, articles L. 533-15 and L. 533-18 to L. 533-18-2, I of article L. 533-19, and articles L. 533-24 and L. 533-24-1 with re…
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