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Showing 11–20 of 38474 articles for “Art. L 533-13”
Investment service providers other than portfolio management companies may, on their own initiative or at the request of a client, treat as a professional or non-professional client, either generally…
By way of derogation fromarticle L. 1331-2 of the French Labour Code, the total amount of variable remuneration may, in whole or in part, be reduced or give rise to restitution where the financial res…
Investment services providers other than portfolio management companies authorised to provide the services mentioned in 1, 2 or 3 of Article L. 321-1 may initiate or conclude transactions with eligibl…
Investment firms shall devote the necessary human and financial resources to the training of the persons mentioned in I of Article L. 533-26.
Articles L. 533-11 to L. 533-15 apply taking into account the nature of the service offered or provided, the nature of the financial instrument in question, and the professional or non-professional na…
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…
The remuneration policy of investment firms applies to categories of staff, in particular the persons mentioned in Article L. 533-25, risk-takers and any employee receiving total remuneration at least…
No variable remuneration is paid to the persons mentioned in 1° and 2° of Article L. 533-25 within an investment firm benefiting from exceptional public financial support. Variable remuneration paid t…
The fixed portion of the total remuneration of the persons referred to in Article L. 533-30 represents a sufficiently large portion of the total remuneration to allow the greatest possible flexibility…
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