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Notice On What Instruments And Contracts, Other Than Those Mentioned In Annex 5 Of The Financial Business Act, Financial Institutions And Stockbroking Companies Must Perform The Services With

Original Language Title: Bekendtgørelse om hvilke instrumenter og kontrakter ud over dem, der er nævnt i bilag 5 til lov om finansiel virksomhed, pengeinstitutter og fondsmæglerselskaber må udføre tjenesteydelser med

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Publication of the instruments and contracts in addition to those referred to in Annex 5 to the Act on financial services, financial institutions and fund-brokers may carry out services with :

In accordance with section 17, in the Act of Finance, cf. Law Order no. 885 of 8. August 2011 :

§ 1. The Bekendas shall apply to :

1) financial institutions authorized pursuant to section 7 (2) ; 1, in the law of financial activities,

2) financial institutions authorised as securities traders in accordance with section 9 (4). 1, cf. Section 7 (2). 2, in the law of financial activities,

3) fund brokers authorised pursuant to section 9 (4). 1 and 2, in the law of financial activities, and

4) branches here in the country of credit institutions and investment firms established in a country outside the European Union which the Community has not contracted in the financial sphere.

§ 2. Financial institutions, cf. § 1, no. 1 may contribute to the emission of stakeholders in the interested parties and in-in-command companies, with no more than 10 participants.

§ 3. Financial institutions, cf. § 1, no. 2, may provide services with the instruments provided for in paragraph 1. 2, cf. however, paragraph 1 3.

Paragraph 2. Financial institutions, cf. paragraph 1, may

1) contribute to the emission of stakeholders in the interested parties and in-in-command companies with no more than 10 participants and carry out services, cf. in Annex 4, section A, no. Amendments Nos 1, 2, 4 and 5, and Annex 1, no. 11, for the law of financial activities, with such partners, and

2) performing services, cf. in Annex 4, section A, no. 1, 2, 4 and 5, for the law of financial activities, with tingly, able, and unveable mortgages, in real estate or tangible personal property.

Paragraph 3. The people in paragraph 3. 1 mentioned financial institutions may only carry out services with those of paragraph 1. 2, no. 1 involved parties to the extent that they are authorized to provide such services in accordance with section 9 (4). 1, cf. Section 7 (2). Two, in the law of financial activities.

§ 4. Fund Broker Companies, cf. § 1, no. 3, may provide services with the instruments provided for in paragraph 1. 2, cf. however, paragraph 1 3.

Paragraph 2. Fund Broker Companies, cf. paragraph 1, may

1) contribute to the emission of stakeholders in the interested parties and in-in-command companies with no more than 10 participants and carry out services, cf. in Annex 4, section A, no. 1 and 2, with such partners,

2) receiving and disseminated orders for investors ' bills, cf. in Annex 4, section A, no. 1, for the law of financial activities, with tingly, able, and unveable mortgages in real estate or tangible personal property ; and

3) performing services, cf. in Annex 4, section A, no. 1-3, for the financial undertaking, with a currency spot, which is not covered by Annex 4, section B, no. 4 and Annex 5, no. 11, for the financial activities.

Paragraph 3. The people in paragraph 3. 1 mentioned fund intermediaries may only provide services provided for in paragraph 1. 2 to the extent that these services are subject to the consent of the Fund for the Fund in accordance with section 9 (4). 1 and 2, in the law of financial activities.

§ 5. Branches of credit institutions, cf. § 1, no. 4, may be carried out in section 3 (3). 2, mentioned services to the extent that these services are subject to the authorisation of the Financial Services to the branch.

Paragraph 2. Branches of investment firms, cf. § 1, no. 4, may be carried out in section 4 (4). 2, mentioned services to the extent that these services are subject to the authorisation of the Financial Services to the branch.

§ 6. The announcement shall enter into force on the 15th. November 2011.

Paragraph 2. At the same time, notice No 984 of 5. In December 2003 on the instruments and contracts in addition to those referred to in Annex 5 to the Act on financial services, financial institutions and fund-brokers may carry out services.

Financial supervision, 1. November, 2011

Ulrik Nutgaard

/ Stig Nielsen