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Showing 5411–5420 of 63703 articles for “Art. L. 237-29 and L. 237-31”
Investment service providers, other than asset management companies, shall ensure that they do not remunerate or assess the performance of their employees in a way that undermines their duty to act in…
…the Conseil de résolution unique of any additional capital requirements in accordance with Article L. 533-4-4 and any expected adjustments in accordance with Article L. 533-4-5.
Investment service providers other than portfolio management companies shall ensure and be able to demonstrate to the AMF that the natural persons who provide investment advice or information on finan…
The Autorité de contrôle prudentiel et de résolution may require Class 2 investment firms and the firms referred to in Article 46(2) of Regulation (EU) 2019/2033 to publish, more than once a year, wit…
…ability risk policy, made public pursuant to Article 3 of the Regulation of the European Parliament and of the Council on the publication of sustainable investment and sustainability risk information…
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…
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