The Autorité de contrôle prudentiel et de résolution shall take into account any guidance issued by the European Banking Authority for the application of Article L. 533-4.
Class 1 bis investment firms are subject to the provisions of articles R. 511-15 to R. 511-16-4.
Investment firms are required to close their financial year on 31 December. However, the Autorité de contrôle prudentiel et de résolution may authorise investment firms to derogate from this rule for the financial year in which they received their authorisation. Unless an exemption is granted by the Autorité de contrôle prudentiel et de résolution, investment firms must submit their annual accounts to the body competent to approve them before 31…
The provisions of Articles R. 533-1, R. 612-34, R. 612-36 to R. 612-50 and R. 613-10 to R. 613-23 also apply to the persons mentioned in Article 4 of Article L. 440-2. The Autorité de contrôle prudentiel et de résolution may authorise the persons referred to in the previous paragraph and investment firms whose business relates exclusively to financial futures instruments, the list of which is set by decree, to…
The financial futures instruments referred to in the second paragraph of article R. 533-2 are those referred to in 2, 3, 4, 7 and 8 of I of article D. 211-1 A.
Investment firms, other than portfolio management companies, publish in their annual report the return on their assets, calculated by dividing their net profit by their balance sheet total.
The statutory auditors referred to in Article L. 511-38 are appointed by the body of these institutions competent to approve the accounts. They are appointed for six financial years. Their term of office shall expire after the body competent to approve the accounts has ruled on the accounts for the sixth financial year. They may be reappointed.
I. – An investment service provider other than an asset management company shall establish and implement appropriate written policies and procedures for classifying its clients as non-professional clients, professional clients or eligible counterparties. Non-professional clients by nature are clients, including clients referred to in the first paragraph of paragraph 1 of II of Annex 2 to Directive 2014/65/EU of 15 May 2014, other than those referred to in Article D….
When entering into a relationship, an investment services provider other than an asset management company shall collect relevant information relating to the identity and legal capacity of any new client in accordance with the conditions set out in the General Regulation of the Autorité des marchés financiers.
The following are deemed to be professional clients within the meaning of article L. 533-16, for all investment services and all financial instruments: 1. a) The credit institutions referred to in article L. 511-9 ; b) The investment firms referred to in Article L. 531-4; c) Other authorised or regulated financial institutions; d) Insurance and reinsurance undertakings referred to respectively in the first paragraph of article L. 310-1 and article…
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is a Registered Trademark of
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182, rue de Rivoli
75001, Paris France
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Paris Bar Registration n° (Toque) C2396
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