Book V: Service providers

Investment firms which have at least one credit institution, investment firm or financial institution within the meaning of Article L. 511-21 as a subsidiary or which have a holding in such an institution or firm are required to comply, on the basis of their consolidated financial position within the meaning of Article 4(1) 47 of Regulation (EU) No 575/2013 of the European Parliament and of the Council of 26 June…

I.-The Autorité de contrôle prudentiel et de résolution 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 Article 1(2) of Regulation (EU) 2019/2033 of the European Parliament and of the Council of 27 November 2019, to an investment firm which carries on any of the activities…

I.-The Autorité de contrôle prudentiel et de résolution may require a Class 2 or Class 3 investment firm to take, at an early stage, any measures necessary to address any of the following issues: 1° The investment firm does not meet the requirements of this Title or those of Regulation (EU) 2019/2033; 2° The Authority has evidence that the investment firm is likely to breach the provisions of this Title…

The Autorité de contrôle prudentiel et de résolution may impose on a Class 2 investment firm an additional capital requirement in excess of the minimum amount provided for by the applicable regulations and require the application to its assets of a specific provisioning policy or a specific treatment with regard to capital requirements. The Authority shall impose the additional capital requirement provided for in the previous paragraph in the following…

The Autorité de contrôle prudentiel et de résolution shall monitor the level of own funds that has been determined by each Class 2 investment firm in accordance with Article L. 533-2-2 and shall verify that it maintains a level of own funds sufficiently in excess of the requirements set out in Part 3 of Regulation (EU) 2019/2033 and the additional capital requirements referred to in Article L. 533-4-4, so that…

The Autorité de contrôle prudentiel et de résolution may require a Class 2 or Class 3 investment firm to comply with a specific liquidity requirement where, on the basis of the controls and examinations carried out in accordance with Article L. 533-2-3, it finds that a Class 2 investment firm or a Class 3 investment firm that has not been exempted from the liquidity requirement in accordance with Article 43(1)…

The Autorité de contrôle prudentiel et de résolution shall notify the Conseil de résolution unique of any additional capital requirements in accordance with Article L. 533-4-4 and any expected adjustments in accordance with Article L. 533-4-5.

The Autorité de contrôle prudentiel et de résolution may require Class 2 investment firms and the firms referred to in Article 46(2) of Regulation (EU) 2019/2033 to publish, more than once a year, within the time limits it determines, the information referred to in that Article and to use, for publications other than financial statements, specific media and venues, in particular their websites. The AMF may require the parent undertakings…

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 in Regulation (EU) 2019/2033 of the European Parliament and of the Council of 27 November 2019 where one of the following conditions is met: 1° The investment firm fails to comply with the requirements of…