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Showing 1911–1920 of 56760 articles for “Art. n°² 96-17.280 and 97-13.423”
…provided to them. The report shall include periodic communications to clients depending on the type and complexity of the financial instruments concerned and the nature of the service provided to clie…
A decree of the Conseil d'Etat shall specify the conditions of application of this sub-section.
Portfolio management companies and investment services providers that provide the investment service referred to in 4 of Article L. 321-1 employ :1° A method of risk management on behalf of third part…
When providing investment and investment-related services to clients, investment service providers other than asset management companies shall act honestly, fairly and professionally, in the best inte…
…he categories of contracts defined by the General Regulation of the Autorité des marchés financiers and having one of the following characteristics:1° The maximum risk is not known at the time of subs…
…best possible result for their clients having regard to price, cost, speed, likelihood of execution and settlement, size, nature of the order or any other considerations relating to the execution of t…
The Autorité de contrôle prudentiel et de résolution may require Class 2 and Class 3 investment firms to make additional or more frequent disclosures than those provided for in Title III of Book V or…
…other than portfolio management companies that use algorithmic trading : 1° Have effective systems and risk controls appropriate to their business to ensure that their trading systems: a) Are resilie…
I. - The portfolio management companies of the AIFs mentioned in 1° and 2° of II of this article and the portfolio management companies of UCITS determine the remuneration policies and practices of th…
…tion may decide to apply the requirements of Regulation (EU) No 575/2013 of the European Parliament and of the Council of 26 June 2013, in accordance with point (c) of the first subparagraph of Articl…
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