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Showing 7621–7630 of 59015 articles for “Art. 10 and 11”
…determine the conditions under which decisions to grant, refuse or withdraw authorisation are taken and notified, as well as the reporting requirements applicable to branches authorised in accordance…
Investment services providers shall keep, in accordance with the conditions laid down in the General Regulation of the Autorité des marchés financiers, relevant information relating to all transaction…
…estment 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 inves…
…rogation from this section, class 1 bis investment firms shall apply the provisions of articles L. 511-51 to L. 511-102.
…ve procedures, internal control mechanisms, effective risk assessment techniques, effective control and safeguard arrangements for their IT systems and risk mitigation techniques for OTC derivative co…
…one credit institution, investment firm or financial institution within the meaning of Article L. 511-21 as a subsidiary or which have a holding in such an institution or firm are required to comply,…
…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…
…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…
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