Where it is authorised to provide one or more investment services, the portfolio management company shall, for the provision of such services, comply with the provisions of this Title applicable to portfolio management companies and the provisions applicable to investment firms.
The period of time after which the AMF’s silence on applications for professional certification from bodies that organise examinations to verify the professional knowledge of individuals placed under the authority of or acting on behalf of portfolio management companies is deemed to constitute a decision to accept the application is four months from the date of receipt of the complete application.
I. – The AMF shall receive notifications of freedom of establishment and freedom to provide services from the investment firms referred to in articles L. 532-18 and L. 532-18-1. It shall also receive notifications of freedom of establishment and freedom to provide services involving the use of tied agents by credit institutions referred to in Articles L. 532-18 and L. 532-18-1. It shall immediately inform the Autorité de contrôle prudentiel…
Where an investment services provider referred to inArticle L. 532-18 intends to use a tied agent, within the meaning ofArticle L. 545-1, established in its home country, the identity of that agent shall be published in the single register referred to inArticle L. 546-1. The Autorité de contrôle prudentiel et de résolution informs the body referred to in I ofarticle L. 512-1 of the French Insurance Code so that it…
I. – When the Autorité de contrôle prudentiel et de résolution initiates disciplinary proceedings against an investment services provider from another Member State of the European Union or another State party to the Agreement on the European Economic Area operating in mainland France, Guadeloupe, French Guiana, Martinique, La Réunion, Mayotte and Saint-Martin, it shall send the competent authority of the home State of the institution in question the letter referred…
I. – Pursuant to I ofArticle L. 532-23, notifications of the establishment of a branch or the use of a tied agent by investment firms and notifications of the use of a tied agent by credit institutions shall be sent to the Autorité de contrôle prudentiel et de résolution, which shall inform the Autorité des marchés financiers within five working days of receipt. The Autorité des marchés financiers shall submit…
Where, pursuant to I ofArticle L. 532-23, an investment firm or credit institution wishes to provide custody account keeping services in another Member State of the European Union or party to the Agreement on the European Economic Area, this firm or institution must, without prejudice to the conditions required by the competent authority of the host State, have been previously authorised to provide this service in France.
When it decides on a transmission to the competent authority of the host state pursuant toArticle L. 532-27, the Autorité de contrôle prudentiel et de résolution shall communicate the notifications received pursuant to I ofArticle L. 532-23 under the conditions provided for by the implementing regulation of the European Commission adopted pursuant to Article 35(12) of Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014….
Where an investment service provider other than an asset management company intends to amend any of the disclosures referred to in II ofArticle D. 532-20 or, as the case may be, provided for inArticle L. 532-23, it shall inform the Autorité de contrôle prudentiel et de résolution at least one month before the change is made, in accordance with the conditions set out in the Delegated Regulation and Implementing Regulation…
Credit institutions wishing to establish a branch in application of I ofArticle L. 532-23 are subject to the procedure provided for in I ofArticle L. 511-27, subject to the observations and opinions of the Autorité des marchés financiers provided for in this sub-paragraph. Credit institutions wishing to use tied agents pursuant to I of Article L. 532-23 are subject to the procedure provided for in II of Article L. 532-23.
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is a Registered Trademark of
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182, rue de Rivoli
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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