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Showing 1851–1860 of 14710 articles for “Art. 150 U et seq.”
Investment services providers other than portfolio management companies that use algorithmic trading to implement a market-making strategy must comply with the following conditions, taking into accoun…
…companies which provide the investment service referred to in Article L. 321-1 .4 shall not accept, unless they return them in full to the client, any remuneration, commission or other monetary or non…
Investment services providers other than portfolio management companies authorised to provide the services mentioned in 1, 2 or 3 of Article L. 321-1 may initiate or conclude transactions with eligibl…
The investment services providers and persons mentioned in article L. 421-17 are required to inform investors, before entering into business relations with them, of the existence of a compensation sch…
By way of derogation fromarticle L. 1331-2 of the French Labour Code, the total amount of variable remuneration may, in whole or in part, be reduced or give rise to restitution where the financial res…
I. - Breaches of the provisions of this chapter, with the exception of article L. 546-3, are punishable by two years' imprisonment and a fine of €6,000 or one of these two penalties only. Any person w…
The members of the risk committee set up pursuant to the provisions of Article L. 533-31 have the knowledge, skills and expertise to enable them to understand, manage and monitor the investment firm's…
Financial investment advisers who are natural persons, as well as natural persons with the power to manage or administer legal persons authorised as financial investment advisers, must meet the age an…
The codes of conduct referred to in Article L. 541-4 must comply with the rules of conduct referred to in Article L. 541-8-1, which they may specify and supplement.
An investment service provider may use the services of tied agents, within the meaning of 29(1) of Article 4 of Directive 2014/65/EU of 15 May 2014 and who may be natural or legal persons, to provide…
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