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Showing 4041–4050 of 61015 articles for “Art. n° 19-23187 and Cass. com. 24 January 2018”
…anagement companies shall keep a record, including the document or documents approved by themselves and their clients, setting out the rights and obligations of the parties and the other conditions un…
Asset management companies shall act honestly, fairly and professionally in the best interests of investors. All information, including promotional communications, sent by an asset management company…
Investment services providers shall act honestly, fairly and professionally, in a way that promotes the integrity of the market.
…State where the agreements provided for in article L. 632-16 are applicable are required, notwithstanding any provisions to the contrary, to forward to undertakings in the same group the information…
…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…
…than an asset management company to clients, including potential clients, shall be accurate, clear and not misleading. Promotional communications shall be clearly identifiable as such.II - Investment…
Investment firms shall devote the necessary human and financial resources to the training of the persons mentioned in I of Article L. 533-26.
…determine the conditions under which decisions to grant, refuse or withdraw authorisation are taken and notified, as well as the reporting requirements applicable to branches authorised in accordance…
Investment services providers shall keep, in accordance with the conditions laid down in the General Regulation of the Autorité des marchés financiers, relevant information relating to all transaction…
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…
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