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Showing 5321–5330 of 42727 articles for “Art. L. 145-37 et Art. L. 145-38”
Where an investment service provider other than an asset management company offers an investment service together with another service or product as part of a package or as a condition of obtaining th…
…ix months from the date on which the conditions for qualification as a class 3 investment firm are met. However, subsections 2, 3 and 4 shall cease to apply to the investment firm at the end of that p…
…providers other than portfolio management companies that use algorithmic trading to implement a market-making strategy must comply with the following conditions, taking into account the liquidity, siz…
…her than portfolio management companies which provide the investment service referred to in Article L. 321-1 .4 shall not accept, unless they return them in full to the client, any remuneration, commi…
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…
The members of the risk committee set up pursuant to the provisions of Article L. 533-31 have the knowledge, skills and expertise to enable them to understand, manage and monitor the investment firm's…
…nagement and compliance is directly supervised by the remuneration committee referred to in article L. 533-31-4 or, if no such committee has been set up, by the board of directors, the supervisory boa…
…count, 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 assessment of the individual performance of…
A decree in the Conseil d'Etat shall lay down the conditions for the application of this sub-section.
…3° Ensure that they do not remunerate or evaluate the results of their employees in a way that is detrimental to their obligation to act in the best interests of their clients when providing the advi…
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