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Showing 5451–5460 of 63520 articles for “Art. IV and V”
I.- Market undertakings of significant importance due to their size and internal organisation, as well as the nature, scale and complexity of their activities, shall set up an appointments committee c…
The operator of the multilateral trading facility shall establish transparent rules concerning the criteria for determining which financial instruments may be traded on its facility. When a financial…
…is a form of trading in which a person, the facilitator, acts as an intermediary between the buyer and the seller involved in the trade, so that there is no exposure to market risk throughout the exe…
I. - The operator of a trading venue shall enter into written contracts with all investment service providers other than portfolio management companies that apply a market-making strategy, within the…
…commercial company. Where the market undertaking manages a regulated market, its registered office and effective management are established in mainland France or in the overseas departments or the De…
Members of the administrative, management and supervisory bodies, managers, employees and agents of market undertakings are bound by professional secrecy.
I. - With a view to recognition as a regulated market, the market undertaking shall draw up the rules of the market. These rules, which are transparent and non-discretionary, ensure fair and orderly t…
Failure to comply with any of the obligations mentioned in the first, second, third and last paragraphs of II of article L. 312-1-1 and, where the customer is an individual acting for non-business pur…
The following offences are punishable by six months' imprisonment and a fine of €7,500 1° Any person who engages in the activity of canvassing for banking or financial services as defined in article L…
…nformation document to be drawn up pursuant to Regulation (EU) No 2017/1129 of 14 June 2017 in the event of a public offer of financial securities or the admission of financial securities to trading o…
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