Article L533-10-5
…t services providers other than portfolio management companies that use algorithmic trading in a Member State of the European Union or party to the Agreement on the European Economic Area shall:1° Not…
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Showing 3331–3340 of 57785 articles for “Art. 1691 bis and Art. 1723 ter-00 B”
…t services providers other than portfolio management companies that use algorithmic trading in a Member State of the European Union or party to the Agreement on the European Economic Area shall:1° Not…
…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…
Investment services providers other than portfolio management companies shall notify the Autorité de contrôle prudentiel et de résolution of significant intra-group transactions in accordance with the…
…e of Regulation (EU) 2019/2033; 2° The Authority has evidence that the investment firm is likely to breach the provisions of this Title or those of the same Regulation within the next twelve months. I…
…ies that provide persons with direct electronic access to a trading venue:1° Have effective systems and controls ensuring that:a) The suitability of persons using the service is properly assessed and…
…estment service together with another service or product as part of a package or as a condition of obtaining the agreement or package, the investment service provider shall make clear to the client wh…
Sub-sections 2, 3 and 4 of this section do not apply to class 3 investment firms. Where a class 2 investment firm finds that it qualifies as a class 3 investment firm, subsections 2, 3 and 4 cease to…
…making strategy must comply with the following conditions, taking into account the liquidity, size and nature of the market and the characteristics of the financial instrument concerned: 1° They carr…
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