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Showing 6361–6370 of 69730 articles for “Art. L 3324-10 and R 3324-21-1”
I. - The rules limiting the number of directorships provided for in II to IV of article L. 533-26 apply within an investment firm that meets one of the following conditions:1° The balance sheet total,…
I -An indication of the code of conduct to which the voting consultant refers, a report on its application and, where applicable, a list of the provisions from which he has deviated, together with the…
Where the applicant applies for authorisation to provide one or more data communication services within the meaning ofArticle L. 323-1, such authorisation shall be granted as part of the authorisation…
I. - The Autorité de contrôle prudentiel et de résolution shall collect, under the conditions defined by order of the Minister responsible for the economy, the information referred to in c and d of Ar…
Within investment firms, the members of the board of directors or the supervisory board, on the one hand, and the members of the management board or any other body exercising equivalent functions or a…
I. - The body referred to in article L. 512-1 of the Insurance Code is responsible for establishing, maintaining and updating the register of persons referred to in I of article L. 546-1. In this capa…
The tied agents referred to inarticle L. 545-4 must not have been subject to :a) a final conviction referred to in II ofarticle L. 500-1 within the last ten years ;b) a sanction provided for in 3° to…
I.-The shareholder engagement policy referred to in I of Article L. 533-22 describes the way in which the following elements in particular are ensured: 1° Monitoring of strategy, financial and non-fin…
The period of time after which the AMF's silence on applications for professional certification from bodies organising examinations to verify the professional knowledge of financial investment adviser…
For the authorisation procedure for the service providers mentioned in Article L. 547-1, the Autorité des marchés financiers shall assess the completeness of the application within twenty-five working…
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