Article L533-13
…ance with the conditions laid down in the General Regulation of the Autorité des marchés financiers.III - Investment services providers other than portfolio management companies may provide the servic…
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Showing 9991–10000 of 33744 articles for “Art. III”
…ance with the conditions laid down in the General Regulation of the Autorité des marchés financiers.III - Investment services providers other than portfolio management companies may provide the servic…
Investment service providers other than portfolio management companies shall keep a record, including the document or documents approved by themselves and their clients, setting out the rights and obl…
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…
…osts and fees.A decree shall specify the information communicated to the client pursuant to this II.III - The information referred to in II shall be provided in a comprehensible form so that clients,…
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.
Investment service providers other than asset management companies that execute client orders shall monitor the effectiveness of their order execution arrangements and execution policy in order to ide…
Where an investment service provider other than an asset management company offers an investment service together with another service or product as part of a package or as a condition of obtaining th…
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…
Investment services providers other than portfolio management companies that use algorithmic trading to implement a market-making strategy must comply with the following conditions, taking into accoun…
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