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Showing 11–20 of 37641 articles for “Art. L 533-18”
The operator of the multilateral trading facility establishes the rules of the facility. These rules, which are transparent and non-discretionary, ensure fair and orderly trading and set objective cri…
The rules of the market shall lay down, in a transparent and non-discriminatory manner, the conditions for admission of members based on objective criteria. Without prejudice to the provisions of Arti…
When executing client orders, investment services providers other than portfolio management companies shall establish and publish once a year, for each category of financial instrument, a ranking of t…
When they have a website, investment firms shall use it to present the systems implemented to ensure compliance with the requirements laid down in Article L. 533-29-3, this section and the regulatory…
I.-The persons mentioned in Article L. 533-29-3 shall draw up a table grouping together the information relating to their establishments by State or territory, mentioned in 1° of the same article, as…
Where they have been given authority to sign on behalf of an investment firm, members of the staff of that investment firm may not, without the authorisation of the senior management, perform administ…
The Board of Directors, the Supervisory Board or any other body exercising equivalent supervisory functions shall have adequate access to the information and documents necessary to supervise and monit…
Members of staff of an investment firm who have been given authority to sign on behalf of that firm may not take up any other employment or perform any paid work outside that firm without first inform…
The provisions of the articles mentioned in the left-hand column of the following table shall apply in New Caledonia, in the wording indicated in the right-hand column of the same table:Applicable art…
The provisions of the articles listed in the left-hand column of the table below shall apply in French Polynesia in the wording indicated in the right-hand column of the same table:Applicable articles…
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