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Showing 10701–10710 of 12160 articles for “Art. 1° and 2°”
Financial investment advisers must:1° Act honestly, loyally and professionally, in the best interests of their clients;2° Exercise their activity, within the limits authorised by their status, with du…
I. - An intermediary in various goods is 1° Any person who, directly or indirectly, by means of promotional communication or canvassing, offers on a regular basis to one or more clients or potential c…
…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…
…ortfolio management companies 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…
Investment services providers offering, recommending or marketing financial instruments: 1° Ensure that they understand the characteristics of these financial instruments and assess their compatibilit…
…a Member State of the European Union or party to the Agreement on the European Economic Area shall:1° Notify the Autorité des marchés financiers as well as the competent authority designated as the c…
…ll provide, in accordance with Article 26 of Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and, where applicable, Article…
…or related services to clients, shall be deemed to fulfil the obligations of Article L. 533-11 if : 1° Prior to the provision of execution services or research services or materials, the investment se…
I.-Portfolio management companies : 1° Put in place rules and procedures to ensure compliance with the provisions applicable to them, including those set out in Article 11 of Regulation (EU) No 648/20…
…other than portfolio management companies which design financial instruments for sale to clients : 1° Maintain, apply and review a validation process for each financial instrument and for significant…
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