Article L533-27-1
Investment firms shall ensure that all loans granted to members of the board of directors, the supervisory board or any other body exercising equivalent supervisory functions or to their related parti…
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Showing 1121–1130 of 67457 articles for “Art. s. L 237-2 and following”
Investment firms shall ensure that all loans granted to members of the board of directors, the supervisory board or any other body exercising equivalent supervisory functions or to their related parti…
When an investment service provider 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 sufficie…
I.-The Autorité de contrôle prudentiel et de résolution may decide to apply the requirements of Regulation (EU) No 575/2013 of the European Parliament and of the Council of 26 June 2013, in accordance…
By way of derogation from this section, class 1 bis investment firms shall apply the provisions of articles L. 511-51 to L. 511-102.
Investment service providers other than asset management companies that execute client orders shall monitor the effectiveness of their order execution arrangements and execution policy in order to ide…
Investment services providers offering, recommending or marketing financial instruments: 1° Ensure that they understand the characteristics of these financial instruments and assess their compatibilit…
The Autorité de contrôle prudentiel et de résolution shall assess and monitor, taking into account the size, risk profile and business model of the investment firm, the systems, strategies and procedu…
The risk committee shall advise the board of directors, the supervisory board or any other body exercising equivalent supervisory functions on matters concerning the investment firm's overall risk str…
Digital asset services include the following services: 1° The service of holding digital assets on behalf of third parties or access to digital assets, where applicable in the form of private cryptogr…
The implementation of the remuneration policy is subject, at least once a year, to a central and independent internal assessment in the exercise of supervisory functions. In the branches of third-coun…
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