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Showing 1701–1710 of 14416 articles for “Art. 6e et 5e ch.”
…/2013 of the European Parliament and of the Council of 26 June 2013, with the management standards determined by an order of the Minister for the Economy and the rules relating to the holdings referre…
…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 8 of Regulation (EU) No 1227/2011 of the…
…n the European Economic Area shall:1° Notify the Autorité des marchés financiers as well as the competent authority designated as the contact point, within the meaning of Article 79(1) of Directive 20…
Investment service providers other than asset management companies that execute client orders shall monitor the effectiveness of their order execution arrangements and execution policy in order to ide…
Investment services providers offering, recommending or marketing financial instruments: 1° Ensure that they understand the characteristics of these financial instruments and assess their compatibilit…
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…
…roviders other than portfolio management companies shall notify the Autorité de contrôle prudentiel et de résolution of significant intra-group transactions in accordance with the conditions set out i…
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…
…t any trading that may create risks for the providers themselves, give rise to or contribute to market disruption or be contrary to Regulation (EU) No 596/2014 of the European Parliament and of the Co…
Where an investment service provider other than an asset management company offers an investment service together with another service or product as part of a package or as a condition of obtaining th…
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