Subsection 2: List of penalties

Subject to the provisions of Article L. 612-40, if any of the persons referred to in I of Article L. 612-2, with the exception of those referred to in 4a, 5° and 11° of A and 4° of B, has breached a European, legislative or regulatory provision that the AMF is responsible for ensuring compliance with, or the approved codes of conduct applicable to its profession, has failed to submit…

I.-A.-The provisions of C apply if a credit institution or finance company is in one of the following situations: 1° It has breached a provision of Regulation (EU) No 575/2013 of the European Parliament and of the Council of 26 June 2013, with the exception of the requirements set out in Articles 92a and 92b thereof; 2° It has breached a provision of Title I and Title III of Book…

If a person referred to in 4° of B of I or II of Article L. 612-2 has breached a European, legislative or regulatory provision that the authority is responsible for ensuring compliance with, or an approved code of conduct applicable to its profession, or has disregarded a warning or failed to comply with a formal notice, the Enforcement Committee may impose one or more of the following disciplinary sanctions…

I. – Financial penalties imposed pursuant to this section may be subject to a surcharge of up to 10% of their amount, payable by the person sanctioned and intended to finance victim support. Article L. 612-40 X applies to this increase and the reasons it gives are used to determine the amount. The penalties and periodic penalty payments provided for in this section are recovered by the Treasury and paid…