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Showing 1841–1850 of 56784 articles for “Art. s. 2224 and 1152”
…es that execute client orders shall monitor the effectiveness of their order execution arrangements and execution policy in order to identify and address any weaknesses. In particular, they shall regu…
…ces providers offering, recommending or marketing financial instruments: 1° Ensure that they understand the characteristics of these financial instruments and assess their compatibility with the needs…
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…
Investment services providers other than portfolio management companies shall notify the Autorité de contrôle prudentiel et de résolution of significant intra-group transactions in accordance with the…
…to breach the provisions of this Title or those of the same Regulation within the next twelve months. II.-Where the soundness of the financial position of a class 2 or class 3 investment firm is comp…
…ies that provide persons with direct electronic access to a trading venue:1° Have effective systems and controls ensuring that:a) The suitability of persons using the service is properly assessed and…
…ient whether it is possible to purchase the different elements of the offer or agreement separately and shall provide separate evidence of the costs and charges associated with each element.Where the…
Sub-sections 2, 3 and 4 of this section do not apply to class 3 investment firms. Where a class 2 investment firm finds that it qualifies as a class 3 investment firm, subsections 2, 3 and 4 cease to…
…making strategy must comply with the following conditions, taking into account the liquidity, size and nature of the market and the characteristics of the financial instrument concerned: 1° They carr…
…non-monetary benefits that are likely to improve the quality of the service provided to a customer and whose size and nature are such that they cannot be considered to interfere with the service prov…
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