Article L533-2-2
Class 2 investment firms shall have in place sound, effective and comprehensive arrangements, strategies and processes for assessing and maintaining, on an ongoing basis, the amount, type and distribu…
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Showing 4271–4280 of 63525 articles for “Art. L. 2315-89 and L. 2315-90”
Class 2 investment firms shall have in place sound, effective and comprehensive arrangements, strategies and processes for assessing and maintaining, on an ongoing basis, the amount, type and distribu…
…xercising equivalent supervisory functions or to their related parties are appropriately documented and made available to the Autorité de contrôle prudentiel et de résolution upon request. For the pur…
…onal capital requirement in excess of the minimum amount provided for by the applicable regulations and require the application to its assets of a specific provisioning policy or a specific treatment…
…r other than a portfolio management company informs clients that the service referred to in Article L. 321-1 (5) is provided independently :1° It evaluates a sufficient range of financial instruments…
…ervice relating to mortgage bonds issued specifically to obtain the financing for the property loan and with identical terms and conditions to the latter, so that the loan can be repaid, refinanced or…
Portfolio management companies and investment services providers that provide the investment service referred to in 4 of Article L. 321-1 employ :1° A method of risk management on behalf of third part…
…he categories of contracts defined by the General Regulation of the Autorité des marchés financiers and having one of the following characteristics:1° The maximum risk is not known at the time of subs…
The Autorité de contrôle prudentiel et de résolution may require Class 2 and Class 3 investment firms to make additional or more frequent disclosures than those provided for in Title III of Book V or…
…other than portfolio management companies that use algorithmic trading : 1° Have effective systems and risk controls appropriate to their business to ensure that their trading systems: a) Are resilie…
I. - The portfolio management companies of the AIFs mentioned in 1° and 2° of II of this article and the portfolio management companies of UCITS determine the remuneration policies and practices of th…
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