Title III: Investment services providers

I. – Notifications of freedom to provide services sent by investment firms to the Autorité de contrôle prudentiel et de résolution pursuant to Article L. 532-24 shall include the following information: 1° An indication of the host country in which the firm intends to carry on business; 2° A programme of operations specifying in particular the investment services and related services that the company will provide in the host State…

Where, pursuant to I of Article L. 532-24, 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.

Where an investment service provider other than an asset management company plans to amend any of the disclosures referred to in I of Article D. 532-23-2, 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 Commission Delegated Regulation (EU) 2017/1018 of 29 June 2016 supplementing Directive 2014/65/EU of the European Parliament…

I. – Any portfolio management company whose registered office is located in mainland France, Guadeloupe, French Guiana, Martinique, La Réunion, Mayotte or Saint-Martin, wishes for the first time to manage a foreign UCITS authorised or to provide investment services in accordance with Directive 2009/65/EC of the European Parliament and of the Council of 13 July 2009 under the freedom to provide services in another Member State of the European Union…

The Autorité des marchés financiers and the authorities of the Member State of the European Union or party to the Agreement on the European Economic Area concerned shall be notified in advance of any change in the information notified pursuant to the provisions of the first paragraph of I of Article R. 532-28. The Autorité des marchés financiers shall update the information contained in the certificate referred to in III…

I. – Any portfolio management company referred to in I of Article L. 532-25-1 intending to manage AIFs for the first time under the freedom to provide services shall provide the Autorité des marchés financiers with documentation containing the following information: 1° The Member State in which it intends to manage FIAs ; 2° A programme of operations specifying in particular the services it intends to provide and identifying the…