Article L533-12-2
…r other than a portfolio management company informs clients that the service referred to in Article L. 321-1 (5) is provided independently :1° It evaluates a sufficient range of financial instruments…
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Showing 5301–5310 of 42727 articles for “Art. L. 145-37 et Art. L. 145-38”
…r other than a portfolio management company informs clients that the service referred to in Article L. 321-1 (5) is provided independently :1° It evaluates a sufficient range of financial instruments…
…the loan can be repaid, refinanced or amortised, this investment service is not subject to articles L. 533-12-6, L. 533-13, L. 533-14 and L. 533-15.
…s and investment services providers that provide the investment service referred to in 4 of Article L. 321-1 employ :1° A method of risk management on behalf of third parties that enables them to moni…
…estment services concerning financial contracts that are not admitted to trading on a regulated market or a multilateral trading facility, falling within one of the categories of contracts defined by…
The Autorité de contrôle prudentiel et de résolution may require Class 2 and Class 3 investment firms to make additional or more frequent disclosures than those provided for in Title III of Book V or…
…erroneous orders or any other operation of the systems likely to give rise to or contribute to market disruption; d) May not be used for any purpose that is contrary to Regulation (EU) No 596/2014 of…
…AIFs mentioned in 1° and 2° of II of this article and the portfolio management companies of UCITS determine the remuneration policies and practices of the following persons, when their professional a…
I.-The Autorité de contrôle prudentiel et de résolution may decide to apply the requirements of Regulation (EU) No 575/2013 of the European Parliament and of the Council of 26 June 2013, in accordance…
The Autorité de contrôle prudentiel et de résolution shall monitor the level of own funds that has been determined by each Class 2 investment firm in accordance with Article L. 533-2-2 and shall verif…
…ithmic trading" means trading in financial instruments in which a computer algorithm automatically determines the parameters of orders, such as whether or when they should be issued, the price or quan…
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