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Showing 131–140 of 69341 articles for “Art. L 533-12-7 and L 541-9-1”
By way of derogation from this section, class 1 bis investment firms are subject to the provisions of articles R. 511-17 to R. 511-26.
Where they have been given authority to sign on behalf of an investment firm, members of the staff of that investment firm may not, without the authorisation of the senior management, perform administ…
The Board of Directors, the Supervisory Board or any other body exercising equivalent supervisory functions shall have adequate access to the information and documents necessary to supervise and monit…
I.-The persons mentioned in Article L. 533-29-3 shall draw up a table grouping together the information relating to their establishments by State or territory, mentioned in 1° of the same article, as…
For the application of Article L. 533-30-13, the conduct likely to result in the reduction or restitution, in whole or in part, of the variable remuneration shall be defined by the investment firms, t…
Members of staff of an investment firm who have been given authority to sign on behalf of that firm may not take up any other employment or perform any paid work outside that firm without first inform…
If justified by the nature of the offences committed by the offender and his personality, the decision granting conditional release may specify that the offender will be subject to enhanced monitoring…
Provisional publication must be confirmed by definitive publication. This publication gives priority to the security on the date of the initial formality, within the limit of the sums retained by the…
Investment firms shall require the instruments referred to in Article L. 533-30-11 to be held for a minimum period defined under the conditions set out in Article L. 533-30-1 so as to align the incent…
The other convertible instruments referred to in 3° of Article L. 533-30-11 that may be used for the allocation of variable compensation are the only instruments that may be fully converted into Tier…
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