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Showing 1811–1820 of 14710 articles for “Art. 150 U et seq.”
…nt service providers other than portfolio management companies shall report to their clients, in a durable medium, on the services provided to them. The report shall include periodic communications to…
A decree of the Conseil d'Etat shall specify the conditions of application of this sub-section.
…es 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 at any…
…g investment and investment-related services to clients, investment service providers other than asset management companies shall act honestly, fairly and professionally, in the best interests of thei…
…stment service providers may not send, directly or indirectly, by electronic means, promotional communications to clients who are likely to be non-professional, in particular potential clients, relati…
…iders other than portfolio management companies shall take all reasonable steps to obtain, when executing orders, the best possible result for their clients having regard to price, cost, speed, likeli…
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…
Investment 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 tr…
…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 the following persons, when their profess…
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…
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