Article L533-10
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…
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Showing 11311–11320 of 12834 articles for “Art. 1° et 2°”
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…
…the service referred to in Article L. 321-1.5, these same providers shall indicate to the client whether or not the benefits associated with a change of financial instruments outweigh the costs assoc…
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…
I.-The Autorité de contrôle prudentiel et de résolution may decide to apply the requirements of Regulation (EU) No 575/2013 of the European Parliament and of the Council of 26 June 2013, in accordance…
I. - The portfolio management companies of the AIFs mentioned in 1° and 2° of II of this article and the portfolio management companies of UCITS determine the remuneration policies and practices of th…
…estment 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 tradi…
The Autorité de contrôle prudentiel et de résolution may require Class 2 and Class 3 investment firms to make additional or more frequent disclosures than those provided for in Title III of Book V or…
…estment services concerning financial contracts that are not admitted to trading on a regulated market or a multilateral trading facility, falling within one of the categories of contracts defined by…
…services providers that provide the investment service referred to in 4 of Article L. 321-1 employ :1° A method of risk management on behalf of third parties that enables them to monitor and measure a…
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