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Showing 4401–4410 of 58596 articles for “Art. s. 8 and 239”
…nctions within the investment firm. The branches of investment firms referred to in Article L. 532-48, where they are material in relation to their size, are required to provide evidence of the existe…
A decree of the Conseil d'Etat shall lay down the conditions for the application of this sub-section.
…gether all the caisses d'épargne et de prévoyance represented by three members of their Orientation and Supervisory Board, including the Chairman, and by two members of their Management Board, includi…
…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…
…d of directors, the supervisory board or any other body exercising equivalent supervisory functions and the persons referred to in Article L. 532-2(4) must devote sufficient time to carrying out the d…
I.-Investment firms and investment holding companies with a branch or subsidiary that is a financial institution within the meaning of Article 4(1), point 26 of Regulation (EU) No 575/2013 in a Member…
…ive rise to restitution where the financial results of the investment firm are mediocre or negative and in particular where the person concerned has disregarded the rules laid down by the investment f…
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…
A decree in the Conseil d'Etat shall lay down the conditions for the application of this sub-section.
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