When they have a website, investment firms shall use it to present the systems implemented to ensure compliance with the requirements laid down in Article L. 533-29-3, this section and the regulatory provisions adopted for their application.
The Board of Directors, the Supervisory Board or any other body exercising equivalent supervisory functions shall have adequate access to the information and documents necessary to supervise and monitor management decisions.
Members of staff of an investment firm who have been given authority to sign on behalf of that firm may not take up any other employment or perform any paid work outside that firm without first informing the firm’s management. This provision does not apply to the production of scientific, literary or artistic works.
Where they have been given authority to sign on behalf of an investment firm, members of the staff of that investment firm may not, without the authorisation of the senior management, perform administrative, management or executive duties in a credit institution, a finance company, another investment firm or a commercial company governed by Book II of the Commercial Code.
I.-The persons mentioned in Article L. 533-29-3 shall draw up a table grouping together the information relating to their establishments by State or territory, mentioned in 1° of the same article, as well as a table grouping together by State or territory the other information mentioned in the same article. In the document in which they appear, these two tables are presented one after the other. These persons are not…
I. – The Autorité de contrôle prudentiel et de résolution shall collect, under the conditions defined by order of the Minister responsible for the economy, the information referred to in c and d of Article 51 of Regulation (EU) 2019/2033 of the European Parliament and of the Council of 27 November 2019 published by investment firms as well as the information they provide concerning the gender pay gap. II. –…
The information referred to in article R. 533-19 as well as that concerning the results of the votes cast at the general meetings referred to in article L. 511-78 shall be sent to the European Banking Authority.
The other convertible instruments referred to in 3° of Article L. 533-30-11 that may be used for the allocation of variable compensation are the only instruments that may be fully converted into Tier 1 core capital instruments as defined by Regulation (EU) no. 575/2013 of the European Parliament and of the Council of 26 June 2013.
For the application of Article L. 533-30-13, the conduct likely to result in the reduction or restitution, in whole or in part, of the variable remuneration shall be defined by the investment firms, taking into account, in particular, the serious losses that they may cause. The decision to reduce or refund the variable remuneration referred to in this article shall take into account the involvement of the person concerned in…
Investment firms shall require the instruments referred to in Article L. 533-30-11 to be held for a minimum period defined under the conditions set out in Article L. 533-30-1 so as to align the incentives of the persons referred to in Article L. 533-30 with the long-term interests of the investment firm, its creditors and its clients, as referred to in the same Article.
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is a Registered Trademark of
PETROFF LAW FIRM (SELARL LEGASTRAT)
182, rue de Rivoli
75001, Paris France
RCS Paris n°814433470
Paris Bar Registration n° (Toque) C2396
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is a Registered Trademark of
PETROFF LAW FIRM (SELARL LEGASTRAT)
182, rue de Rivoli
75001, Paris France
RCS Paris n°814433470
Paris Bar Registration n° (Toque) C2396
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