Article L533-2-1
Class 1 bis investment firms are subject to the provisions of articles L. 511-41 to L. 511-50-1, with the exception of I of article L. 511-45, and are not subject to the provisions of article L. 533-4…
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Showing 571–580 of 69946 articles for “Art. L 225-129-1 and L 225-129-2”
Class 1 bis investment firms are subject to the provisions of articles L. 511-41 to L. 511-50-1, with the exception of I of article L. 511-45, and are not subject to the provisions of article L. 533-4…
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…
I.-In their sustainability risk policy, made public pursuant to Article 3 of the Regulation of the European Parliament and of the Council on the publication of sustainable investment and sustainabilit…
Investment firms shall ensure that all loans granted to members of the board of directors, the supervisory board or any other body exercising equivalent supervisory functions or to their related parti…
When an investment service provider other than a portfolio management company informs clients that the service referred to in Article L. 321-1 (5) is provided independently :1° It evaluates a sufficie…
Investment service providers other than asset management companies that execute client orders shall monitor the effectiveness of their order execution arrangements and execution policy in order to ide…
Investment services providers offering, recommending or marketing financial instruments: 1° Ensure that they understand the characteristics of these financial instruments and assess their compatibilit…
Digital asset services include the following services: 1° The service of holding digital assets on behalf of third parties or access to digital assets, where applicable in the form of private cryptogr…
For the purposes of this chapter, the notion of business relationship means the professional or commercial relationship with the customer and includes, where applicable, the beneficial owner. In the c…
I. - The department referred to in Article L. 561-23 may request information from the funds set up pursuant to 9° of Article 53 of Law No. 71-1130 of 31 December 1971 relating to the amount, origin an…
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