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Showing 5311–5320 of 42727 articles for “Art. L. 145-37 et Art. L. 145-38”
Investment service providers other than asset management companies shall not pay or receive any remuneration or commission or provide or receive any non-monetary benefit in connection with the provisi…
Investment services providers other than portfolio management companies which use a high-frequency algorithmic trading technique shall keep an accurate and chronological record of all orders placed, i…
…f derogation from this section, class 1 bis investment firms shall apply the provisions of articles L. 511-51 to L. 511-102.
…east one credit institution, investment firm or financial institution within the meaning of Article L. 511-21 as a subsidiary or which have a holding in such an institution or firm are required to com…
…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…
I.-The Autorité de contrôle prudentiel et de résolution may require a Class 2 or Class 3 investment firm to take, at an early stage, any measures necessary to address any of the following issues: 1° T…
…t any trading that may create risks for the providers themselves, give rise to or contribute to market disruption or be contrary to Regulation (EU) No 596/2014 of the European Parliament and of the Co…
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