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Showing 2361–2370 of 40353 articles for “Art. 25-3 et seq.”
…ithmic trading" means trading in financial instruments in which a computer algorithm automatically determines the parameters of orders, such as whether or when they should be issued, the price or quan…
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.
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…
I.-The Autorité de contrôle prudentiel et de résolution may require a Class 2 or Class 3 investment firm to take, at an early stage, any measures necessary to address any of the following issues: 1° T…
…ch provide the investment service referred to in Article L. 321-1 .4 shall not accept, unless they return them in full to the client, any remuneration, commission or other monetary or non-monetary ben…
…ment firm or in the event of failure to comply with the obligations relating to good repute and competence.
The members of the risk committee set up pursuant to the provisions of Article L. 533-31 have the knowledge, skills and expertise to enable them to understand, manage and monitor the investment firm's…
…by the remuneration committee referred to in article L. 533-31-4 or, if no such committee has been set up, by the board of directors, the supervisory board or any other body exercising equivalent supe…
…remuneration granted and paid to the categories of staff referred to in Article L. 533-30 shall be determined on the basis of a combined assessment of the individual performance of the person concerne…
A decree in the Conseil d'Etat shall lay down the conditions for the application of this sub-section.
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