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Showing 1701–1710 of 14332 articles for “Art. 964 et seq.”
…rules and procedures to ensure compliance with the provisions applicable to them, including those set out in Article 11 of Regulation (EU) No 648/2012 of the European Parliament and of the Council of…
…h ; 3° The research for which the combined fees or joint payment is made concerns issuers whose market capitalisation, for the thirty-six month period preceding the provision of the research, did not…
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.
Investment service providers other than asset management companies shall have sound administrative procedures, internal control mechanisms, effective risk assessment techniques, effective control and…
…/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…
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