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Showing 8991–9000 of 66237 articles for “Art. III and IV”
…apply to any person who carries out a transaction, places an order or behaves in such a way as to give, or be likely to give, misleading indications as to the supply, demand or price of a financial i…
…n Articles L. 213-8, L. 511-1, L. 517-1, L. 517-4, L. 522-1, L. 526-1, L. 531-1, L. 542-1, L. 543-1 and L. 549-2, or have the power to sign on behalf of this organisation; 2° Exercise one of the profe…
Deposits made by clients with investment services providers other than portfolio management companies, members of a clearing house or made by such members with a clearing house to cover or guarantee p…
…ion of inside information concerning an issuer in which he or she holds the position of chief executive officer, chairman, member of the management board, manager, member of the board of directors, me…
The rules of the organised trading system shall lay down, in a transparent and non-discriminatory manner, the conditions for admission of clients to the system, based on objective criteria. The operat…
For the purposes of this section, an issuer is a person or entity whose financial securities are admitted to trading on a regulated market or whose financial securities, whether admitted to trading or…
…ions on a regular basis.It is also prohibited for any person other than a credit institution to receive repayable funds from the public on a regular basis or to provide payment banking services.
The operator of the organised trading system shall establish transparent rules concerning the criteria for determining which financial instruments may be traded on its system. When a financial instrum…
In the event of the opening of safeguard, receivership or liquidation proceedings referred to in Book VI of the Commercial Code or any equivalent proceedings opened under foreign law against a member…
…monitoring compliance with the disclosure requirements laid down in Article L. 451-1-2 of this Code and Articles L. 233-7 to L. 233-9 of the Commercial Code, and where it establishes that the issuer o…
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