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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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

Under section 17 of the financial business Act, see. lovbekendtgørelse nr. 885 of 8. August 2011, fixed: § 1. The notice applies to 1) financial institutions that are authorised under section 7 (1) of the financial business Act, 2) financial institutions that are authorised as securities traders under section 9, paragraph 1, of the basic regulation. section 7, paragraph 2, of the law on financial business, 3) stockbroking companies which are authorized under section 9 (1) and (2) of the financial business Act, and 4) branches in this country by credit institutions and investment firms with registered office in a country outside the European Union, which the community has not concluded an agreement with the financial area.

§ 2. Financial institutions, see. § 1, nr. 1, can contribute by issuance of shares in partnerships and limited partnerships with a maximum of 10 participants.

§ 3. Financial institutions, see. § 1, nr. 2, can perform the services with the instruments resulting from paragraph 2 of the basic regulation. However, paragraph 3.

(2). Financial institutions, see. (1), 1) help from issuance of shares in partnerships and limited partnerships with a maximum of 10 participants, as well as services, see. Annex 4, section A, point 1. 1, 2, 4 and 5 as well as annex 1, nr. 11, to the financial business Act, with such shares, and 2) perform services, see. Annex 4, section A, point 1. 1, 2, 4 and 5, of the financial business Act, with things brightened, negotiable mortgages in real estate or personal property.

(3). Referred to in paragraph 1, financial institutions can only perform services with those of paragraph 2, no. 1 included shares in so far as they are authorised for such services pursuant to section 9, paragraph 1, of the basic regulation. section 7, paragraph 2, of the financial business Act.

§ 4. Stockbroking companies, see. § 1, nr. 3, can perform the services with the instruments resulting from paragraph 2 of the basic regulation. However, paragraph 3.

(2). Stockbroking companies, see. (1), 1) help from issuance of shares in partnerships and limited partnerships with a maximum of 10 participants, as well as services, see. Annex 4, section A, point 1. 1 and 2, with such shares, 2) receive and transmit orders for investors ' expense, without prejudice. Annex 4, section A, point 1. 1, for the financial business Act, with things brightened, negotiable mortgages in real estate or movable property, and 3) perform services, see. Annex 4, section A, point 1. 1-3, to the financial business Act, foreign exchange spot transactions not covered by Annex 4, section B, point 3. 4 and annex 5, nr. 11, to the financial business Act.

(3). Referred to in paragraph 1, the stockbroking companies can only perform services in accordance with paragraph 2, in so far as those services are covered by the stockbroking company's permit pursuant to § 9 (1) and (2) of the financial business Act.

§ 5. Branches of credit institutions referred to in article 6. § 1, nr. 4 can perform the in section 3, paragraph 2, referred to services to the extent that these services are covered by the Danish financial supervisory authority authorisation to the branch.

(2). Branches of investment firms referred to in article 6. § 1, nr. 4 can perform the in section 4, paragraph 2, referred to services to the extent that these services are covered by the Danish financial supervisory authority authorisation to the branch.

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

(2). At the same time repealed Executive Order No. 984 of 5. December 2003 on what instruments and contracts in addition to those mentioned in annex 5 of the financial business Act, financial institutions and stockbroking companies must perform the services.

The Danish financial supervisory authority, the 1. November 2011 Ulrik Nødgaard/Stig Nielsen