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Showing 1701–1710 of 56495 articles for “Art. 1380 and 1381”
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 648/20…
…provision of execution services or research services or materials, the investment service provider and the research provider enter into an agreement specifying the portion, attributable to the resear…
By way of derogation from this section, class 1 bis investment firms shall apply the provisions of articles L. 511-51 to L. 511-102.
…ve procedures, internal control mechanisms, effective risk assessment techniques, effective control and safeguard arrangements for their IT systems and risk mitigation techniques for OTC derivative co…
…ion within the meaning of Article 4(1) 47 of Regulation (EU) No 575/2013 of the European Parliament and of the Council of 26 June 2013, with the management standards determined by an order of the Mini…
…ll provide, in accordance with Article 26 of Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and, where applicable, Article…
…ntact point, within the meaning of Article 79(1) of Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments, of the trading platform conce…
…es that execute client orders shall monitor the effectiveness of their order execution arrangements and execution policy in order to identify and address any weaknesses. In particular, they shall regu…
…ces providers offering, recommending or marketing financial instruments: 1° Ensure that they understand the characteristics of these financial instruments and assess their compatibility with the needs…
The Autorité de contrôle prudentiel et de résolution shall assess and monitor, taking into account the size, risk profile and business model of the investment firm, the systems, strategies and procedu…
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