Persons benefiting from the exemption referred to in j) of 2° of Article L. 531-2 shall inform the AMF, at its request, that they are making use of this exemption. The Autorité des marchés financiers may ask these persons for the elements on the basis of which they consider that their activities mentioned in j) of 2° of Article L. 531-2 are ancillary to their main business, in accordance with…
I. – To obtain authorisation as an investment firm, the applicant shall send the Autorité de contrôle prudentiel et de résolution its application drawn up in accordance with the conditions laid down in the Delegated Regulation and the Implementing Regulation of the European Commission adopted pursuant to paragraphs 4 and 5 of Article 7 of Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014. II….
Where the applicant applies for authorisation as an investment firm or credit institution including the right to provide custody account keeping or clearing of financial instruments, the authorisation to provide this service or carry out this activity is issued as part of the authorisation procedure as an investment services provider. If the applicant has been authorised as an investment firm or credit institution providing one or more investment services and…
I. – On receipt of an application, the Autorité de contrôle prudentiel et de résolution shall check that it includes all the information required under the terms of I or II ofArticle R. 532-1 , as applicable, and, if so, shall examine it. If not, it will ask the applicant to provide the missing information. The Autorité de contrôle prudentiel et de résolution shall forward the application to the Autorité…
The period of time after which the AMF’s silence on applications for professional certification from bodies organising examinations to verify the professional knowledge of natural persons placed under the authority of or acting on behalf of investment services providers shall be deemed to constitute a decision of acceptance is four months from the date of receipt of the complete application.
I. – Pursuant to the provisions ofArticle L. 532-3-1 and without prejudice to the provisions of I ofArticle L. 531-6, the Autorité de contrôle prudentiel et de résolution shall be informed in advance of any proposed changes to the financial instruments and investment services taken into account for the authorisation of an investment services provider other than an asset management company. The Autorité de contrôle prudentiel et de résolution shall…
I. – Before granting authorisation as an investment firm to an applicant that is a direct or indirect subsidiary of an insurance company, reinsurance company, credit institution, investment firm or portfolio management company headquartered in a country other than France, the Autorité de contrôle prudentiel et de résolution may, on its own initiative or at the request of the Autorité des marchés financiers, ask the authority responsible for authorising this…
When assessing the acquisition or extension of a direct or indirect qualifying holding in the capital of an investment firm referred to in I of Article L. 531-6, the Autorité de contrôle prudentiel et de résolution shall assess the suitability of the proposed acquirer and the financial soundness of the proposed acquisition, applying all of the following criteria, in order to ensure that the investment firm targeted by the proposed…
To obtain the authorisation referred to in I ofArticle L. 531-6, the applicant shall send the Autorité de contrôle prudentiel et de résolution its application together with a file containing the information provided for in the European Commission’s delegated regulation adopted pursuant to Article 12(8) of Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014.
The Autorité de contrôle prudentiel et de résolution may oppose the proposed acquisition only if there are reasonable grounds for doing so based solely on the criteria set out in Article R. 532-8-1, or if the information provided by the proposed acquirer pursuant to Article R. 532-8-2 is incomplete.
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75001, Paris France
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is a Registered Trademark of
PETROFF LAW FIRM (SELARL LEGASTRAT)
182, rue de Rivoli
75001, Paris France
RCS Paris n°814433470
Paris Bar Registration n° (Toque) C2396
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