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Showing 91–100 of 61134 articles for “Art. L 533-18-1”
The Autorité de contrôle prudentiel et de résolution shall take into account any guidance issued by the European Banking Authority for the application of Article L. 533-4.
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…
…board, on the one hand, and the members of the management board or any other body exercising equivalent functions or any persons who effectively manage the business of the firm within the meaning ofA…
Where performance is taken into account, the variable remuneration granted and paid to the categories of staff referred to in Article L. 533-30 shall be determined on the basis of a combined assessmen…
I.-This article applies to entities subject to Article L. 533-22-1. For the credit institutions and investment firms mentioned in Article L. 511-4-3, this article applies to portfolio management activ…
I.-The portfolio management companies mentioned in article L. 532-9, with the exception of those which exclusively manage FIAs covered by I of article L. 214-167, FIAs covered by IV of article L. 532-…
I. - For the purposes of II of Article L. 533-12, the information provided to clients is as follows:1° Where they provide the investment service referred to in 5° of Article L. 321-1, investment servi…
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…
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…
The investment services providers and persons mentioned in article L. 421-17 are required to inform investors, before entering into business relations with them, of the existence of a compensation sch…
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