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Showing 1881–1890 of 56760 articles for “Art. n°² 96-17.280 and 97-13.423”
Without prejudice to the application of Section 8 of Chapter I of Title I of Book V, Articles II and III of Article L. 533-29 apply to credit institutions authorised to provide one or more of the inve…
…ent orders, investment services providers other than portfolio management companies shall establish and publish once a year, for each category of financial instrument, a ranking of the top five execut…
…nt services referred to in Article L. 321-1 (4) are subject to the provisions of Articles L. 533-22 and L. 533-22-1 in the same way as the portfolio management companies referred to therein.
…e persons who effectively manage the business of the firm within the meaning of Article L. 532-2 .4 and the members of the board of directors, the supervisory board, the management board or any other…
…the provisions of articles L. 511-41 to L. 511-50-1, with the exception of I of article L. 511-45, and are not subject to the provisions of article L. 533-4.
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…
…l 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…
…ce arrangements including, in particular, a clear organisation ensuring a well-defined, transparent and consistent division of responsibilities, effective procedures for identifying, managing, monitor…
I.-Investment firms shall have robust strategies, policies, processes and systems in place to identify, measure, manage and monitor the following: 1° The significant causes and effects of risks to cli…
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