Subsection 1: Provisions applicable to investment service providers

I.-Portfolio management companies : 1° Put in place rules and procedures to ensure compliance with the provisions applicable to them, including those set out in Article 11 of Regulation (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on over-the-counter derivatives, central counterparties and trade repositories ; 2° Put in place rules and procedures to ensure that persons under their authority or acting on…

Portfolio management companies and investment services providers that provide the investment service referred to in 4 of Article L. 321-1 employ : 1° A method of risk management on behalf of third parties that enables them to monitor and measure at any time the risk associated with the management of portfolio positions and transactions and the contribution of these to the overall risk profile of the managed portfolio. In particular,…

Without prejudice to the application of Section 8 of Chapter I of Title I of Book V, Articles II and III of Article L. 533-29 apply to credit institutions authorised to provide one or more of the investment services referred to in Article L. 321-1.