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Showing 1211–1220 of 56760 articles for “Art. n°² 96-17.280 and 97-13.423”
…° Products covered by Article L. 214-42 as it read prior toOrder 2011-915 of 1 August 2011 on UCITS and the modernisation of the legal framework for asset management and by Article L. 214-169 ; 4° Fin…
…for the marketing of digital assets, services on digital assets or financial products, instruments and services, must hold a canvassing card issued by the person on whose behalf they are acting, in a…
…ticle L. 341-16 . The first paragraph of this article does not apply to the persons mentioned in 7° and 8° of article L. 341-3 when they engage in a banking or financial canvassing activity mentioned…
…ect marketers shall enquire about the financial situation of the person canvassed, their experience and their investment or financing objectives. These provisions do not apply in the case of mailings…
I. - The operator of a trading venue shall put in place effective systems, procedures and mechanisms to ensure that its trading systems are resilient, have sufficient capacity to handle high volumes o…
Position limits and position management controls shall be transparent and non-discriminatory, shall state how they apply to persons and shall take into account the nature and composition of market par…
…e measures planned by the market undertaking to comply with the obligations set out in paragraphs 2 and 4 of I and II of Article L. 421-11. The Autorité des marchés financiers shall propose, in the sa…
I.- Market undertakings of significant importance due to their size and internal organisation, as well as the nature, scale and complexity of their activities, shall set up an appointments committee c…
The operator of the multilateral trading facility shall establish transparent rules concerning the criteria for determining which financial instruments may be traded on its facility. When a financial…
…is a form of trading in which a person, the facilitator, acts as an intermediary between the buyer and the seller involved in the trade, so that there is no exposure to market risk throughout the exe…
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