Book V: Service providers

In order to supervise an investment service provider benefiting from the regime provided for in Article L. 532-18-1, the competent authorities of the home country to which it belongs may require its branches established in France to disclose any information relevant to the exercise of that supervision. After informing the Autorité de contrôle prudentiel et de résolution in advance, the competent authority of the home country of an investment services…

The persons referred to in Article L. 532-18-1 shall send the Autorité des marchés financiers, at its request and for statistical purposes, periodic reports on the activities of their branch. The Autorité des marchés financiers may require the branches referred to in Article L. 532-18-1 to send it the information necessary to enable it to verify that they comply with the provisions applicable to them in mainland France, Guadeloupe, French…

Where the Autorité de contrôle prudentiel et de résolution or the Autorité des marchés financiers has clear and demonstrable grounds for believing that an investment service provider operating under the freedom to provide services or with a branch in mainland France, Guadeloupe, Guyana, Martinique, La Réunion, Mayotte or Saint-Martin is in breach of the legal or regulatory obligations for which the home state authority is competent, it shall report the…

Where the Autorité de contrôle prudentiel et de résolution or the Autorité des marchés financiers finds that an ISP with a branch in mainland France, Guadeloupe, French Guiana, Martinique, Reunion, Mayotte or Saint-Martin is not complying with the disclosure requirements laid down in Article L. 532-20, the provisions of the second paragraph of Article L. 532-18-1 and Article L. 532-18-2 or the regulatory provisions adopted for their application, it shall…