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Showing 6751–6760 of 69694 articles for “Art. L 144-2 and Art. R 132-5-3”
I. - The Autorité de contrôle prudentiel et de résolution shall withdraw the registration at the request of the account information service provider or ex officio if it : a) Does not make use of the r…
Any change in the conditions to which the authorisation granted to an investment service provider other than a portfolio management company providing one or more investment services was subject must b…
Without prejudice to the provisions of Article 26-6 of Law No 47-1775 of 10 September 1947 on the Statute for a Cooperative Society, the Autorité des marchés financiers is competent to oppose, in acco…
In this sub-section and for the purposes of the provisions relating to algorithmic trading : 1° "algorithmic trading" means trading in financial instruments in which a computer algorithm automatically…
I.-The Autorité de contrôle prudentiel et de résolution may require a Class 2 or Class 3 investment firm to take, at an early stage, any measures necessary to address any of the following issues: 1° T…
Investment service providers other than portfolio management companies which provide the investment service referred to in Article L. 321-1 .4 shall not accept, unless they return them in full to the…
By way of derogation fromarticle L. 1331-2 of the French Labour Code, the total amount of variable remuneration may, in whole or in part, be reduced or give rise to restitution where the financial res…
The members of the risk committee set up pursuant to the provisions of Article L. 533-31 have the knowledge, skills and expertise to enable them to understand, manage and monitor the investment firm's…
The remuneration of senior executives in charge of risk management and compliance is directly supervised by the remuneration committee referred to in article L. 533-31-4 or, if no such committee has b…
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…
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