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Showing 1811–1820 of 15236 articles for “Art. s. 496 et 504”
…ded independently :1° It evaluates a sufficient range of financial instruments available on the market, which must be sufficiently diversified in terms of their type and their issuers or suppliers to…
If a property loan within the meaning of Chapter III of Title I of Book III of the Consumer Code subject to the provisions relating to the assessment of consumer solvency includes as a precondition th…
…the costs associated with the transactions carried out and the services provided on behalf of clients.II - Investment service providers other than portfolio management companies that provide the inves…
A decree of the Conseil d'Etat shall specify the conditions of application of this sub-section.
…es 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 parties that enables them to monitor and measure at any…
…g investment and investment-related services to clients, investment service providers other than asset management companies shall act honestly, fairly and professionally, in the best interests of thei…
…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…
…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 the or…
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…
…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…
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