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Showing 1551–1560 of 59300 articles for “Art. 9° and 10°”
…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.
…whether: 1° The persons who effectively manage the service provider are of sufficiently good repute and are competent to perform their duties; 2° The natural persons who either hold, directly or indir…
…rticle L. 54-10-2. Any person who is not registered as a provider of the services referred to in 1° and 4° above is prohibited from using a name, company name, advertising or any other process that gi…
…which is set by the General Regulation of the Autorité des marchés financiers; 2° Adequate security and internal control arrangements; 3° A resilient and secure IT system; 4° A system for managing con…
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