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Showing 1681–1690 of 14328 articles for “Art. 1542 et seq.”
…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 professional a…
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…
The Autorité de contrôle prudentiel et de résolution shall monitor the level of own funds that has been determined by each Class 2 investment firm in accordance with Article L. 533-2-2 and shall verif…
…ithmic trading" means trading in financial instruments in which a computer algorithm automatically determines the parameters of orders, such as whether or when they should be issued, the price or quan…
Investment service providers other than asset management companies shall not pay or receive any remuneration or commission or provide or receive any non-monetary benefit in connection with the provisi…
…the service referred to in Article L. 321-1.5, these same providers shall indicate to the client whether or not the benefits associated with a change of financial instruments outweigh the costs assoc…
…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 under which the former…
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…
…al instrument and for significant adaptations of existing financial instruments before they are marketed or distributed to clients. This validation process determines a defined target market of end cl…
…ders shall act honestly, fairly and professionally, in a way that promotes the integrity of the market.
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