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Showing 631–640 of 7625 articles for “Art. Société Cacique Investments Ltd”
When an investment service provider 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 sufficie…
If a property loan within the meaning of Chapter III of Title I of Book III of the Consumer Code subject to the provisions relating to the assessment of consumer solvency includes as a precondition th…
I.- Investment service providers other than portfolio management companies shall report to their clients, in a durable medium, on the services provided to them. The report shall include periodic commu…
When providing investment and investment-related services to clients, investment service providers other than asset management companies shall act honestly, fairly and professionally, in the best inte…
Investment service providers may not send, directly or indirectly, by electronic means, promotional communications to clients who are likely to be non-professional, in particular potential clients, re…
I.- Investment services providers other than portfolio management companies shall take all reasonable steps to obtain, when executing orders, the best possible result for their clients having regard t…
Investment services providers other than portfolio management companies that use algorithmic trading : 1° Have effective systems and risk controls appropriate to their business to ensure that their tr…
In this sub-section and for the purposes of the provisions relating to algorithmic trading : 1° "algorithmic trading" means trading in financial instruments in which a computer algorithm automatically…
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…
I.-In order to provide the services mentioned in 4 or 5 of Article L. 321-1, investment service providers other than portfolio management companies shall obtain the necessary information concerning th…
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