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Showing 21–30 of 61134 articles for “Art. L 533-18-1”
The persons referred to in article L. 533-30 are prohibited from using individual hedging or insurance strategies with regard to remuneration or liability in order to limit the application of the prov…
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…
Portfolio management companies and investment services providers that provide the investment service referred to in 4 of Article L. 321-1 employ :1° A method of risk management on behalf of third part…
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…
…package or as a condition of obtaining the agreement or package, the investment service provider shall make clear to the client whether it is possible to purchase the different elements of the offer o…
I.-Portfolio management companies : 1° Put in place rules and procedures to ensure compliance with the provisions applicable to them, including those set out in Article 11 of Regulation (EU) No 648/20…
Discretionary pension benefits as defined in Article 4(1) 73 of Regulation (EU) No 575/2013 of the European Parliament and of the Council of 26 June 2013 shall be consistent with the economic strategy…
…y a third party of research equipment or services to investment service providers, other than portfolio management companies, providing investment or related services to clients, shall be deemed to fu…
Investment services providers shall act honestly, fairly and professionally, in a way that promotes the integrity of the market.
Investment services providers offering, recommending or marketing financial instruments: 1° Ensure that they understand the characteristics of these financial instruments and assess their compatibilit…
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