Article L533-4-5
The Autorité de contrôle prudentiel et de résolution shall monitor the level of own funds that has been determined by each Class 2 investment firm in accordance with Article L. 533-2-2 and shall verif…
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Showing 1981–1990 of 67746 articles for “Art. L 581-4 and R 581-22”
The Autorité de contrôle prudentiel et de résolution shall monitor the level of own funds that has been determined by each Class 2 investment firm in accordance with Article L. 533-2-2 and shall verif…
Investment service providers other than asset management companies shall not pay or receive any remuneration or commission or provide or receive any non-monetary benefit in connection with the provisi…
Investment firms which have at least one credit institution, investment firm or financial institution within the meaning of Article L. 511-21 as a subsidiary or which have a holding in such an institu…
I.-The Autorité de contrôle prudentiel et de résolution may require a Class 2 or Class 3 investment firm to take, at an early stage, any measures necessary to address any of the following issues: 1° T…
The remuneration of senior executives in charge of risk management and compliance is directly supervised by the remuneration committee referred to in article L. 533-31-4 or, if no such committee has b…
I.-Investment firms of significant size, the board of directors, the supervisory board or any other body exercising equivalent supervisory functions shall set up a compensation committee. Branches of…
Financial investment advisers as defined in article L. 541-1 are registered in the single register mentioned in article L. 546-1.
A decree in the Conseil d'Etat shall lay down the conditions for the application of this sub-section.
Any person who has not been registered with the Autorité des marchés financiers may not provide the services referred to in 1° to 4° of Article L. 54-10-2. Any person who is not registered as a provid…
The persons referred to in Article L. 561-2 shall apply the due diligence measures intended to implement their obligations under this chapter on the basis of an assessment of the risks presented by th…
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