Article L533-12-5
Investment service providers, other than asset management companies, shall ensure that they do not remunerate or assess the performance of their employees in a way that undermines their duty to act in…
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Showing 7591–7600 of 63585 articles for “Art. L. 631-7 et L. 631-7-1”
Investment service providers, other than asset management companies, shall ensure that they do not remunerate or assess the performance of their employees in a way that undermines their duty to act in…
Investment service providers other than portfolio management companies shall ensure and be able to demonstrate to the AMF that the natural persons who provide investment advice or information on finan…
…and any significant impact on own funds; 2° The significant causes and effects of risks to the market and any significant impact on own funds; 3° The significant causes and effects of risks to the in…
…tfolio management companies shall make available to their subscribers and to the public a document setting out their policy on the inclusion in their investment strategy of environmental, social and g…
…ated parties are appropriately documented and made available to the Autorité de contrôle prudentiel et de résolution upon request. For the purposes of the previous paragraph, a related party may be :…
…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…
…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…
…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…
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