Article L533-12-2
…r other than a portfolio management company informs clients that the service referred to in Article L. 321-1 (5) is provided independently :1° It evaluates a sufficient range of financial instruments…
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Showing 1451–1460 of 62242 articles for “Art. L. 416-1 et seq.”
…r other than a portfolio management company informs clients that the service referred to in Article L. 321-1 (5) is provided independently :1° It evaluates a sufficient range of financial instruments…
…estment services concerning financial contracts that are not admitted to trading on a regulated market or a multilateral trading facility, falling within one of the categories of contracts defined by…
…erroneous orders or any other operation of the systems likely to give rise to or contribute to market disruption; d) May not be used for any purpose that is contrary to Regulation (EU) No 596/2014 of…
…ithmic trading" means trading in financial instruments in which a computer algorithm automatically determines the parameters of orders, such as whether or when they should be issued, the price or quan…
Investment service providers other than asset management companies shall not pay or receive any remuneration or commission or provide or receive any non-monetary benefit in connection with the provisi…
Investment services providers other than portfolio management companies which use a high-frequency algorithmic trading technique shall keep an accurate and chronological record of all orders placed, i…
…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…
…n the European Economic Area shall:1° Notify the Autorité des marchés financiers as well as the competent authority designated as the contact point, within the meaning of Article 79(1) of Directive 20…
Investment service providers other than asset management companies that execute client orders shall monitor the effectiveness of their order execution arrangements and execution policy in order to ide…
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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