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Showing 21–30 of 38630 articles for “Art. L 533-11”
I. - An investment service provider other than an asset management company shall establish and implement appropriate written policies and procedures for classifying its clients as non-professional cli…
Within investment firms of significant importance in relation to their size and in accordance with criteria relating to the level of remuneration of the individual, at least half of the variable remun…
The rules of the market shall lay down, in a transparent and non-discriminatory manner, the conditions for admission of members based on objective criteria. Without prejudice to the provisions of Arti…
The following have the status of eligible counterparties within the meaning of Article L. 533-20: 1. a) The credit institutions referred to in Article L. 511-9 ; b) The investment firms referred to in…
The operator of the multilateral trading facility establishes the rules of the facility. These rules, which are transparent and non-discretionary, ensure fair and orderly trading and set objective cri…
For the application of articles L. 1226-15, L. 1234-9, L. 1235-3, L. 1235-3-1, L. 1235-11 and L. 1235-16 of the Labour Code, the determination of the indemnity payable by the employer does not take in…
Investment firms shall devote the necessary human and financial resources to the training of the persons mentioned in I of Article L. 533-26.
If a property loan within the meaning of Chapter III of Title I of Book III of the Consumer Code subject to the provisions relating to the assessment of consumer solvency includes as a precondition th…
Investment firms providing the investment services referred to in Article L. 321-1 (4) are subject to the provisions of Articles L. 533-22 and L. 533-22-1 in the same way as the portfolio management c…
The Autorité de contrôle prudentiel et de résolution shall notify the Conseil de résolution unique of any additional capital requirements in accordance with Article L. 533-4-4 and any expected adjustm…
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