Article L533-10-5
…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…
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Showing 3181–3190 of 66667 articles for “Art. 729-1 and 755”
…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…
…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…
…non-monetary benefits that are likely to improve the quality of the service provided to a customer and whose size and nature are such that they cannot be considered to interfere with the service prov…
…ive rise to restitution where the financial results of the investment firm are mediocre or negative and in particular where the person concerned has disregarded the rules laid down by the investment f…
…he 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 risk strategy a…
A decree in the Conseil d'Etat shall lay down the conditions for the application of this sub-section.
Financial investment advisers must:1° Act honestly, loyally and professionally, in the best interests of their clients;2° Exercise their activity, within the limits authorised by their status, with du…
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