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Showing 1801–1810 of 15236 articles for “Art. s. 496 et 504”
…intaining, on an ongoing basis, the amount, type and distribution of internal capital and liquid assets which they consider appropriate to cover the nature and level of risks which they may impose on…
…cedures according to which non-professional clients may request to be treated as professional clients.
…le result in executing orders, taking into account price, cost, speed, likelihood of execution and settlement, size, nature of the order or any other considerations relating to the execution of the or…
Investment services providers, market undertakings and clearing houses must provide the Banque de France with the information required to compile monetary statistics.
…ment companies are prohibited from receiving deposits of funds, securities or gold from their clients.
…t strategy. Each year, they publish a report on the implementation of this policy. The content and methods of publication of this policy and its report are set by decree in the Conseil d'Etat. The per…
Portfolio management companies shall set a target for balanced representation of women and men among the teams, bodies and managers responsible for making investment decisions. The results obtained ar…
…ated parties are appropriately documented and made available to the Autorité de contrôle prudentiel et de résolution upon request. For the purposes of the previous paragraph, a related party may be :…
The Autorité de contrôle prudentiel et de résolution may impose on a Class 2 investment firm an additional capital requirement in excess of the minimum amount provided for by the applicable regulation…
…f Articles L. 511-35, L. 511-36, L. 511-37 and L. 511-39. They shall have sound accounting procedures.The previous paragraph applies to portfolio management companies, with the exception of article L.…
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