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Showing 1221–1230 of 56760 articles for “Art. n°² 96-17.280 and 97-13.423”
…ply a market-making strategy, within the meaning of 3° of Article L. 533-10-3, on the trading venue and shall put in place arrangements to ensure that a sufficient number of investment service provide…
…commercial company. Where the market undertaking manages a regulated market, its registered office and effective management are established in mainland France or in the overseas departments or the De…
Members of the administrative, management and supervisory bodies, managers, employees and agents of market undertakings are bound by professional secrecy.
…t, the market undertaking shall draw up the rules of the market. These rules, which are transparent and non-discretionary, ensure fair and orderly trading and set objective criteria for the efficient…
Failure to comply with any of the obligations mentioned in the first, second, third and last paragraphs of II of article L. 312-1-1 and, where the customer is an individual acting for non-business pur…
The following offences are punishable by six months' imprisonment and a fine of €7,500 1° Any person who engages in the activity of canvassing for banking or financial services as defined in article L…
…ovided in a prospectus drawn up by the issuer pursuant to Regulation (EU) 2017/1129 of 14 June 2017 and in any supplement thereto lies with the issuer.Responsibility for the information provided in th…
…ortfolio management company authorised to provide the investment services referred to in Articles 8 and 9 of Article L. 321-1.A member of a trading venue is a member of a regulated market or a multila…
Notwithstanding the provisions of Article L. 411-1, a public offer of the following financial securities is authorised: 1° Financial securities issued by a State ; 2° Financial securities guaranteed b…
…F may appoint an agent for the market undertaking, to whom all powers of administration, management and representation of the legal entity shall be transferred.This appointment shall be made either at…
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