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Showing 1821–1830 of 56564 articles for “Art. 1447-0 and 1478”
…anagement companies shall keep a record, including the document or documents approved by themselves and their clients, setting out the rights and obligations of the parties and the other conditions un…
Asset management companies shall act honestly, fairly and professionally in the best interests of investors. All information, including promotional communications, sent by an asset management company…
…io 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 adaptations of exi…
Investment services providers shall act honestly, fairly and professionally, in a way that promotes the integrity of the market.
…State where the agreements provided for in article L. 632-16 are applicable are required, notwithstanding any provisions to the contrary, to forward to undertakings in the same group the information…
…anagement companies which use a high-frequency algorithmic trading technique shall keep an accurate and chronological record of all orders placed, including order cancellations, orders executed and qu…
…than an asset management company to clients, including potential clients, shall be accurate, clear and not misleading. Promotional communications shall be clearly identifiable as such.II - Investment…
…ers other than portfolio management companies that design financial instruments for sale to clients and investment service providers that offer, recommend or market financial instruments are not subje…
Investment firms shall devote the necessary human and financial resources to the training of the persons mentioned in I of Article L. 533-26.
…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…
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