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Showing 3931–3940 of 63941 articles for “Art. L 145-31 and L 145-15”
Where the AMF is the competent authority of the home Member State of an AIFM established in a third country and considers that the AIFM is not complying with the rules falling within its remit, it sha…
When the Autorité des marchés financiers considers that the AIFM may rely on the provisions of Article L. 532-31, it shall notify the European Securities and Markets Authority without delay. The AMF s…
The Autorité des marchés financiers may, at the request of the European Securities and Markets Authority:1° Prohibit the marketing, in the European Union, of units or shares of AIFs managed by manager…
…nce Member State.However, if the AIFM modifies its marketing strategy within two years of its initial authorisation and if this new strategy, if it had been the initial marketing strategy, would have…
Where the parent undertaking of an investment service provider other than a portfolio management company is a credit institution, an investment firm, a financial holding company, a mixed financial hol…
I. - The 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…
Investment firms shall have: 1° Sound governance arrangements including, in particular, a clear organisation ensuring a well-defined, transparent and consistent division of responsibilities, effective…
…vider other than an asset management company who receives an instruction to perform investment or related services on behalf of a client from another investment service provider other than an asset ma…
I.-With a view to providing the service referred to in Article L. 321-1.2, investment service providers other than portfolio management companies shall adopt and apply procedures to ensure that client…
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…
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