Article L533-12-5
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…
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Showing 2421–2430 of 65733 articles for “Art. s. L 312-5 and L 312-6”
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…
The Autorité de contrôle prudentiel et de résolution shall monitor the level of own funds that has been determined by each Class 2 investment firm in accordance with Article L. 533-2-2 and shall verif…
Investment services providers other than portfolio management companies that use algorithmic trading in a Member State of the European Union or party to the Agreement on the European Economic Area sha…
The remuneration policy of investment firms makes a distinction, based on clear criteria, between basic fixed remuneration and variable remuneration. Basic fixed remuneration primarily reflects profes…
…se the services of tied agents must ensure that these agents are registered in accordance with Article L. 545-5.
A decree of the Conseil d'Etat shall lay down the conditions for the application of this sub-section.
I.-In order to provide one or more of the services referred to in Article L. 54-10-2 on a regular professional basis, service providers established in France may apply for authorisation from the Autor…
Before entering into a business relationship, the persons referred to in Article L. 561-2 shall collect information relating to the purpose and nature of the relationship and any other relevant inform…
Where warranted by an emergency situation, in particular that described in Article 18 of Regulation (EU) No 1093/2010, or an adverse development that is likely to threaten market liquidity or the stab…
In the absence of a joint decision by the supervisory authority on a consolidated basis, the Autorité de contrôle prudentiel et de résolution may, within a period set by decree in the Conseil d'Etat,…
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