Article L533-4-1
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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Showing 2711–2720 of 67775 articles for “Art. L 3334-14 and R 3334-4”
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…
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…
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…
I.-Investment firms of significant size, the board of directors, the supervisory board or any other body exercising equivalent supervisory functions shall set up a compensation committee. Branches of…
Financial investment advisers as defined in article L. 541-1 are registered in the single register mentioned in article L. 546-1.
A decree in the Conseil d'Etat shall lay down the conditions for the application of this sub-section.
Any person who has not been registered with the Autorité des marchés financiers may not provide the services referred to in 1° to 4° of Article L. 54-10-2. Any person who is not registered as a provid…
The persons referred to in Article L. 561-2 shall apply the due diligence measures intended to implement their obligations under this chapter on the basis of an assessment of the risks presented by th…
The supervisory authorities referred to in 3° to 16° of I of Article L. 561-36 shall put in place procedures to ensure that any failure to comply with the obligations defined in this Title and supervi…
I.-The persons referred to in Article L. 561-2 shall put in place an organisation and internal procedures for the implementation of the measures for freezing assets and prohibiting the making availabl…
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