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Showing 1621–1630 of 68467 articles for “Art. L. 654-2 and L. 654-3”
…that provides payment services, a payment institution, another intermediary in banking transactions and payment services, a participative finance intermediary, a participative finance service provider…
…contrôle prudentiel et de résolution may impose the disciplinary sanctions provided for in Article L. 612-39, including removal from the list provided for in Article L. 612-21; 2° The account informa…
…f be subject to specific conditions that meet the purpose set out in the ninth paragraph of Article L. 532-2 and the fifth paragraph of Article L. 532-3, or be subject to compliance with commitments m…
…utorité des marchés financiers is competent to oppose, in accordance with paragraph 14 of Article 7 and Article 21 of Council Regulation (EC) No 1435/2003 of 22 July 2003 on the Statute for a European…
In this sub-section and for the purposes of the provisions relating to algorithmic trading : 1° "algorithmic trading" means trading in financial instruments in which a computer algorithm automatically…
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…
…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…
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…
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