Article L533-29
Investment firms shall have: 1° Sound governance arrangements including, in particular, a clear organisation ensuring a well-defined, transparent and consistent division of responsibilities, effective…
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Showing 1921–1930 of 68469 articles for “Art. L 548-2 and L 548-3”
Investment firms shall have: 1° Sound governance arrangements including, in particular, a clear organisation ensuring a well-defined, transparent and consistent division of responsibilities, effective…
I.-In an investment firm, the following persons must at all times be of sufficiently good repute and have the knowledge, skills and experience required to perform their duties: 1° Members of the Board…
Portfolio management companies are prohibited from receiving deposits of funds, securities or gold from their clients.
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-…
A decree of the Conseil d'Etat shall specify the conditions of application of this sub-section.
Investment services providers other than portfolio management companies which design financial instruments for sale to clients : 1° Maintain, apply and review a validation process for each financial i…
Investment firms shall devote the necessary human and financial resources to the training of the persons mentioned in I of Article L. 533-26.
Investment service providers other than asset management companies shall have sound administrative procedures, internal control mechanisms, effective risk assessment techniques, effective control and…
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…
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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