Article L533-10-8
Investment services providers other than portfolio management companies that provide persons with direct electronic access to a trading venue:1° Have effective systems and controls ensuring that:a) Th…
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Showing 6131–6140 of 63520 articles for “Art. IV and V”
Investment services providers other than portfolio management companies that provide persons with direct electronic access to a trading venue:1° Have effective systems and controls ensuring that:a) Th…
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…
Investment service providers other than portfolio management companies which provide the investment service referred to in Article L. 321-1 .4 shall not accept, unless they return them in full to the…
Investment services providers other than portfolio management companies authorised to provide the services mentioned in 1, 2 or 3 of Article L. 321-1 may initiate or conclude transactions with eligibl…
The investment services providers and persons mentioned in article L. 421-17 are required to inform investors, before entering into business relations with them, of the existence of a compensation sch…
By way of derogation fromarticle L. 1331-2 of the French Labour Code, the total amount of variable remuneration may, in whole or in part, be reduced or give rise to restitution where the financial res…
The members of the risk committee set up pursuant to the provisions of Article L. 533-31 have the knowledge, skills and expertise to enable them to understand, manage and monitor the investment firm's…
I. - An intermediary in various goods is 1° Any person who, directly or indirectly, by means of promotional communication or canvassing, offers on a regular basis to one or more clients or potential c…
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