Article L533-4-6
The Autorité de contrôle prudentiel et de résolution may require a Class 2 or Class 3 investment firm to comply with a specific liquidity requirement where, on the basis of the controls and examinatio…
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Showing 8391–8400 of 34794 articles for “Art. III bis”
The Autorité de contrôle prudentiel et de résolution may require a Class 2 or Class 3 investment firm to comply with a specific liquidity requirement where, on the basis of the controls and examinatio…
The Autorité de contrôle prudentiel et de résolution shall notify the Conseil de résolution unique of any additional capital requirements in accordance with Article L. 533-4-4 and any expected adjustm…
The Autorité de contrôle prudentiel et de résolution may require Class 2 investment firms and the firms referred to in Article 46(2) of Regulation (EU) 2019/2033 to publish, more than once a year, wit…
Class 2 investment firms shall have in place sound, effective and comprehensive arrangements, strategies and processes for assessing and maintaining, on an ongoing basis, the amount, type and distribu…
The Autorité de contrôle prudentiel et de résolution may impose on a Class 2 investment firm an additional capital requirement in excess of the minimum amount provided for by the applicable regulation…
…3 investment firms to make additional or more frequent disclosures than those provided for in Title III of Book V or in Regulation (EU) 2019/2033 of the European Parliament and of the Council of 27 No…
…cle 4 of Regulation (EU) No 575/2013, collective investment undertakings or insurance undertakings. III - Where the Autorité de contrôle prudentiel et de résolution decides to rescind a decision taken…
The Autorité de contrôle prudentiel et de résolution shall 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 verif…
Investment service providers other than asset management companies shall have sound administrative procedures, internal control mechanisms, effective risk assessment techniques, effective control and…
Investment firms which have at least one credit institution, investment firm or financial institution within the meaning of Article L. 511-21 as a subsidiary or which have a holding in such an institu…
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