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Showing 11301–11310 of 12834 articles for “Art. 1° et 2°”
For the purposes of this chapter, digital assets include: 1° The tokens referred to in Article L. 552-2, with the exception of those fulfilling the characteristics of the financial instruments referre…
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…
…providers other than portfolio management companies that use algorithmic trading to implement a market-making strategy must comply with the following conditions, taking into account the liquidity, siz…
…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…
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…
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…
…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 8 of Regulation (EU) No 1227/2011 of the…
…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…
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