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Showing 731–740 of 62812 articles for “Art. Futures margin and mark-to-market rules”
…e of decree no. 2019-1316 of 9 December 2019 remain governed by the provisions of articles R. 715-1 and R. 715-2 in their wording prior to that resulting from this decree. For a period of one year fro…
…n 6, or in the event of dissolution for any reason whatsoever, the intermediaries referred to in 1° and 4° of I of Article R. 519-4 must join a new approved association within three months of notifica…
The intermediaries mentioned in 1° and 4° of I of article R. 519-4 who also carry out insurance or reinsurance brokerage activities may join only one approved professional association, provided that t…
…iary shall explain to the customer, including the potential customer, the reasons for his proposals and how he has taken account of the information he has obtained from the customer.
The additional rules provided for in this sub-section apply to the intermediaries referred to in 1° of I of article R. 519-4 and to their agents referred to in 4° of the same I.
…nclusion of any banking transaction or the provision of any payment service or any preparatory work and advice, the intermediary shall inform the customer, including the potential customer: 1° The num…
…vities mentioned in article L. 511-6 when they may be useful in assessing the customer's background and, where applicable, the risk incurred. II. - Intermediaries must refrain from transmitting false…
…se a sufficient number of contracts on offer to be able to base an objective analysis of the market and recommend or propose a contract suited to the needs of the customer, including the potential cus…
The period provided for in the last paragraph of article L. 716-4-6 and given to the applicant to lodge a civil or criminal action on the merits, or a complaint with the public prosecutor, is twenty w…
For the purposes of this section, an issuer is a person or entity whose financial securities are admitted to trading on a regulated market or whose financial securities, whether admitted to trading or…
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