Article L533-10-1
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 part…
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Showing 1411–1420 of 59323 articles for “Art. 214-9 and 214-10”
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 part…
…other than portfolio management companies that use algorithmic trading : 1° Have effective systems and risk controls appropriate to their business to ensure that their trading systems: a) Are resilie…
In this sub-section and for the purposes of the provisions relating to algorithmic trading : 1° "algorithmic trading" means trading in financial instruments in which a computer algorithm automatically…
…anagement companies which use a high-frequency algorithmic trading technique shall keep an accurate and chronological record of all orders placed, including order cancellations, orders executed and qu…
…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…
…ies that provide persons with direct electronic access to a trading venue:1° Have effective systems and controls ensuring that:a) The suitability of persons using the service is properly assessed and…
…making strategy must comply with the following conditions, taking into account the liquidity, size and nature of the market and the characteristics of the financial instrument concerned: 1° They carr…
…f those fulfilling the characteristics of the financial instruments referred to in Article L. 211-1 and the savings bonds referred to in Article L. 223-1; 2° Any digital representation of a value that…
…assets, where applicable in the form of private cryptographic keys, with a view to holding, storing and transferring digital assets; 2° The service of buying or selling digital assets in legal tender;…
The allocation of variable components of total remuneration within the investment firm takes account of all the risks to which it is or is likely to be exposed.
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