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French Monetary and Financial Code

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Article R561-38-2 of the French Monetary and Financial Code

November 5, 2023

The persons mentioned in 1° to 7°c of Article L. 561-2 may entrust an external service provider with the performance, in their name and on their behalf, of all or part of the activities relating to the obligations incumbent upon them under this chapter, with the exception of the reporting obligations set out in Article L. 561-15. They shall remain responsible for compliance with their obligations. A contract between the…

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Article R561-38-4 of the French Monetary and Financial Code

November 5, 2023

For the persons mentioned in 1° to 2°e, 6°, with the exception of financial investment advisors and providers of participative financing services in respect of their activities mentioned in Article L. 547-4, and 6°a of Article L. 561-2, the system defined in Article R. 561-38-3 shall include at least: 1° Procedures defining the organisation of the internal control system and the internal control activities that these persons carry out to…

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Article R561-38-6 of the French Monetary and Financial Code

November 5, 2023

At least once a year, the board of directors, the supervisory board or any other body exercising supervisory functions of the persons mentioned in the first paragraph of Article R. 561-38-4 is informed of the activity and results of the internal controls mentioned in that same article, as well as of the shortcomings mentioned in 1° of that article or observed by the national or foreign supervisory authorities. The latter…

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Article R561-38-7 of the French Monetary and Financial Code

November 5, 2023

The parent undertaking of a group mentioned in I of Article L. 561-33, which has as a subsidiary or branch at least one person mentioned in 1° to 2°e, 6°, with the exception of financial investment advisors and providers of participative financing services in respect of their activities mentioned in Article L. 547-4 , and 6° bis of Article L. 561-2 or belonging to an equivalent category under foreign law,…

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Article R561-38-8 of the French Monetary and Financial Code

November 5, 2023

For the persons mentioned in 3° to 5°, 7° to 17° of Article L. 561-2, financial investment advisers and providers of participative financing services mentioned in 6° of Article L. 561-2, the system defined in Article R. 561-38-3 shall include at least: 1° Procedures defining the internal control activities that these persons carry out to ensure compliance with the obligations laid down in Chapter I of this Title ; 2°…

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Article R561-38-9 of the French Monetary and Financial Code

November 5, 2023

The procedures for applying this section with regard to the nature and scope of internal procedures, the rules for organising internal control and the content of the reports on internal control provided for in Articles R. 561-38-6 and R. 561-38-7, as well as the deadline and procedures for forwarding them to the supervisory authority, are specified as necessary: a) By an order of the Minister responsible for the economy for…

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Article R561-39 of the French Monetary and Financial Code

November 5, 2023

For the application of 14° of I of Article L. 561-36, the administrative authority responsible for monitoring compliance by the persons mentioned in 9° of Article L. 561-2 with the obligations mentioned in the first paragraph of I of Article L. 561-36 is the Service Central des Courses et Jeux. Inspections to monitor compliance by these persons with these obligations are carried out by national police officers responsible for the…

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Article R561-40 of the French Monetary and Financial Code

November 5, 2023

For the application of 14° of I of Article L. 561-36, the competent administrative authority for monitoring compliance by the persons mentioned in 8°, 11° and 15° of Article L. 561-2 with the obligations mentioned in the first paragraph of I of Article L. 561-36 is the Director General of Competition, Consumer Affairs and Fraud Control. Inspections to ensure that the persons referred to in 8°, 11° and 15° of…

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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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