Title III: Investment services providers

The application for authorisation referred to in Article L. 532-49 shall include : 1° The name of the authority responsible for supervising the third-country undertaking in its home country. If several authorities are responsible for supervision, their respective areas of competence are specified; 2° The following information: a) Concerning the third-country undertaking : i) its name, its legal form, the address of its registered office or, failing that, the address…

I. – On receipt of an application for authorisation as referred to in Article L. 532-49, the Autorité de contrôle prudentiel et de résolution shall check that it is complete and, if so, shall proceed to examine it. The procedure set out in II, III and IV of Article R. 532-3 applies. II. – The Autorité de contrôle prudentiel et de résolution is informed in advance of any proposed changes…

The provisions of article R. 532-2 apply to branches of third-country undertakings authorised in France.

I. – Where, pursuant to paragraph 3 of Article 47 of Regulation (EU) No 600/2014 of 15 May 2014, a branch authorised in France of a third-country firm benefiting from an equivalence decision provided for in Article 47 of Regulation (EU) No 600/2014 of 15 May 2014 wishes to provide investment services in another Member State of the European Union or party to the Agreement on the European Economic Area…

A company from a third country within the meaning of 1° of Article L. 532-47 of this Code is not required to establish a branch in France if, without providing any other investment service mentioned in Article L. 321-1 in France, it enters into transactions on its own account in financial instruments or in units mentioned inArticle L. 229-7 of the Environment Code in one of the following situations: 1°…

A branch authorised in accordance with Article L. 532-48 shall report the following information annually to the Autorité de contrôle prudentiel et de résolution, which shall inform the Autorité des marchés financiers: 1° The scale and scope of the services it provides; 2° Where it provides the service referred to in 3 of Article L. 321-1, its minimum, average and maximum monthly exposure to counterparties located in Member States of…