Article L533-10-1
Portfolio management companies and investment services 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 part…
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Showing 3011–3020 of 61830 articles for “Art. 41 E to 41J and Art. 41 F”
Portfolio management companies and investment services 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 part…
When providing investment and investment-related services to clients, investment service providers other than asset management companies shall act honestly, fairly and professionally, in the best inte…
Investment 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, re…
I.- Investment services providers other than portfolio management companies shall take all reasonable steps to obtain, when executing orders, the best possible result for their clients having regard t…
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…
I. - The portfolio management companies 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 th…
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…
In this sub-section and for the purposes of the provisions relating to algorithmic trading : 1° "algorithmic trading" means trading in financial instruments in which a computer algorithm automatically…
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