Article L533-2-3
The Autorité de contrôle prudentiel et de résolution shall assess and monitor, taking into account the size, risk profile and business model of the investment firm, the systems, strategies and procedu…
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Showing 101–110 of 61134 articles for “Art. L 533-18-1”
The Autorité de contrôle prudentiel et de résolution shall assess and monitor, taking into account the size, risk profile and business model of the investment firm, the systems, strategies and procedu…
The following are deemed to be professional clients within the meaning of article L. 533-16, for all investment services and all financial instruments:1. a) The credit institutions referred to in arti…
I. - The Autorité de contrôle prudentiel et de résolution shall collect, under the conditions defined by order of the Minister responsible for the economy, the information referred to in c and d of Ar…
When investment service providers other than portfolio management companies trade over-the-counter financial instruments that are economically equivalent to commodity derivatives, units referred to in…
Investment firms are bound by the obligations of Articles L. 511-35, L. 511-36, L. 511-37 and L. 511-39. They shall have sound accounting procedures.The previous paragraph applies to portfolio managem…
Sub-sections 2, 3 and 4 of this section do not apply to class 3 investment firms. Where a class 2 investment firm finds that it qualifies as a class 3 investment firm, subsections 2, 3 and 4 cease to…
Investment service providers other than asset management companies shall have sound administrative procedures, internal control mechanisms, effective risk assessment techniques, effective control and…
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…
Undertakings established in France which are part of a group to which one or more management companies have their registered office in a Member State of the European Union or in another State party to…
Investment services providers other than portfolio management companies shall notify the Autorité de contrôle prudentiel et de résolution of significant intra-group transactions in accordance with the…
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