Article L533-10-7
…anagement companies which use a high-frequency algorithmic trading technique shall keep an accurate and chronological record of all orders placed, including order cancellations, orders executed and qu…
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Showing 4271–4280 of 68896 articles for “Art. L. 123-1 and L. 123-9”
…anagement companies which use a high-frequency algorithmic trading technique shall keep an accurate and chronological record of all orders placed, including order cancellations, orders executed and qu…
…east one credit institution, investment firm or financial institution within the meaning of Article L. 511-21 as a subsidiary or which have a holding in such an institution or firm are required to com…
…ntact point, within the meaning of Article 79(1) of Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments, of the trading platform conce…
…es that execute client orders shall monitor the effectiveness of their order execution arrangements and execution policy in order to identify and address any weaknesses. In particular, they shall regu…
…ces providers offering, recommending or marketing financial instruments: 1° Ensure that they understand the characteristics of these financial instruments and assess their compatibility with the needs…
…ies that provide persons with direct electronic access to a trading venue:1° Have effective systems and controls ensuring that:a) The suitability of persons using the service is properly assessed and…
…making strategy must comply with the following conditions, taking into account the liquidity, size and nature of the market and the characteristics of the financial instrument concerned: 1° They carr…
…her 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 client, any remuneration, commi…
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…
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