Article L533-7
Undertakings established in France which are part of a group to which one or more management companies have their registered office in a Member State of the European Union or in another State party to…
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Showing 2971–2980 of 57221 articles for “Art. CE 23 Dec 2013 n° 363702 and 363719”
Undertakings established in France which are part of a group to which one or more management companies have their registered office in a Member State of the European Union or in another State party to…
Investment services providers other than portfolio management companies which use a high-frequency algorithmic trading technique shall keep an accurate and chronological record of all orders placed, i…
I. - All information, including promotional communications, addressed by an investment service provider other than an asset management company to clients, including potential clients, shall be accurat…
Investment service providers other than portfolio management companies that design financial instruments for sale to clients and investment service providers that offer, recommend or market financial…
Investment firms shall devote the necessary human and financial resources to the training of the persons mentioned in I of Article L. 533-26.
A decree shall determine the conditions under which decisions to grant, refuse or withdraw authorisation are taken and notified, as well as the reporting requirements applicable to branches authorised…
Investment services providers shall keep, in accordance with the conditions laid down in the General Regulation of the Autorité des marchés financiers, relevant information relating to all transaction…
I.-Portfolio management companies : 1° Put in place rules and procedures to ensure compliance with the provisions applicable to them, including those set out in Article 11 of Regulation (EU) No 648/20…
I.-The provision by a third party of research equipment or services to investment service providers, other than portfolio management companies, providing investment or related services to clients, sha…
By way of derogation from this section, class 1 bis investment firms shall apply the provisions of articles L. 511-51 to L. 511-102.
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