Article L533-12-4-1
…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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Showing 12511–12520 of 14204 articles for “Art. 1°”
…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…
…or market financial instruments are not subject to the obligations set out in Article L. 533-24 and 1° to 3° of Article L. 533-24-1 when the investment service they provide relates to bonds that do no…
…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…
…do not apply, without applying the provisions of II of this Article, under the following conditions:1° The service relates to non-complex financial instruments defined by decree ;2° The service is pro…
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…
…welve months, reaches or exceeds €5 billion, and where one or more of the following criteria apply: 1° The investment firm carries out these activities on such a scale that its failure or difficulties…
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…
…ean Parliament and of the Council of 27 November 2019 where one of the following conditions is met: 1° The investment firm fails to comply with the requirements of the Regulation or is likely to fail…
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