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Showing 1541–1550 of 63459 articles for “Art. L 214-94 and L 214-109”
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…
The manager of a trading platform does not commit its own capital or trade by matching with its own account on the platforms it manages. Proprietary trading is a form of trading in which a person, the…
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…
A regulated market is managed by a market undertaking. This undertaking takes the form of a commercial company. Where the market undertaking manages a regulated market, its registered office and effec…
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…
I.-The information 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 t…
I.-A trading venue is a regulated market within the meaning of Article L. 421-1, a multilateral trading facility within the meaning of Article L. 424-1 or an organised trading facility within the mean…
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