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Decision implementing EU regulations financial markets

Original Language Title: Besluit uitvoering EU-verordeningen financiële markten

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Decision of 8 November 2012 on the implementation of EU regulations in the field of financial markets and amending the Decision on financial sector penalties in relation to that (Decision implementing EU regulations financial markets). markets)

We Beatrix, at the grace of God, Queen of the Netherlands, Princess of Orange-Nassau, etc. etc. etc.

On the nomination of Our Minister of Finance dated 5 September 2012, Executive Board Financial Markets, FM/2012/1280M;

Having regard to the Article 1:24, third member , 1:25, third member , 1:25a, second member , 1:25c , 1:79, first paragraph, part b , 1:80, first paragraph, part b , 1:81 , and 1:97, first paragraph, part (e) of the Financial Supervision Act ;

The Department for the Advisory Board of the State (Opinion of 5 October 2012, No W06.12.0379/III);

Having regard to the further report of our Minister of Finance dated 2 November 2012, Directorate-General for Financial Markets, No FM/2012/1478 M;

Have found good and understand:


Article 1

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For the purpose of this Decision:

  • competent authority: the competent authority referred to in Article 2 ;

  • Regulation (EC) 809/2004 (prospectus): Regulation (EC) Decision No 809/2004 of the Commission of the European Communities of 29 April 2004 implementing Directive 2003 /71/EC of the European Parliament and of the Council with regard to the information to be provided in the prospectus, the format of the prospectus, the inclusion of information by reference, publication of the prospectus and the dissemination of advertisements concerning (PbEU 2004 L 149);

  • Regulation (EC) 1287/2006 (MiFID): Regulation (EC) Commission of the European Communities of 10 August 2006 implementing Regulation (EEC) No 1287/2006 Directive 2004 /39/EC of the European Parliament and of the Council with regard to the obligations for investment firms relating to the keeping of data, the reporting of transactions, market transparency, the admission of financial instruments to trade and the definition of notions for the purposes of the Directive (PbEU 2006 L 241);

  • Regulation (EC) 924/2009 (cross-border payments): Regulation (EC) Regulation (EC) No 924/2009 of the European Parliament and of the Council of 16 September 2009 on cross-border payments in the Community and repealing Regulation (EC) No 924/2009 of the European Parliament and of the Council 2560/2001 (PbEU 2009 L 266);

  • Regulation (EC) 1060/2009 (rating agencies): Regulation (EC) 1060/2009 of the European Parliament and of the Council of 16 September 2009 on credit rating agencies (PbEU 2009 L 302);

  • Regulation (EU) 583/2010 (key investor information): Regulation (EU) European Commission of 1 July 2010 implementing Regulation (EEC) No 583/2010 Directive 2009 /65/EC of the European Parliament and of the Council as regards key investor information and the conditions to be met if the essential investor information or prospectus is provided on a durable medium other than paper or through a website provided (PbEU 2010 L 176);

  • Regulation (EU) 1031/2010 (auctioning of greenhouse gas emission allowances): Regulation (EU) European Commission of 12 November 2010 on timing, management and other aspects of auctioning of greenhouse gas emission allowances pursuant to Directive 2003 /87/EC of the European Parliament and of the Council establishing a set of greenhouse gas emission allowances Scheme for greenhouse gas emission allowance trading within the Community (PbEU 2010 L 302);

  • Regulation (EU) 236/2012 (short selling and credit default swaps): Regulation (EU) 236/2012 of the European Parliament and of the Council of 14 March 2012 on short selling and certain aspects of credit default swaps (PbEU 2012 L 86);

  • Regulation (EU) 260/2012 (payment services): Regulation (EU) Commission Regulation (EC) No 260/2012 of 14 March 2012 of the European Parliament and of the Council establishing technical and business requirements for credit transfers and direct debits in euro and amending Regulation (EC) No 260/2012 of the European Parliament and of the Council 924/2009 (PbEU 2012 L 94);

  • Regulation (EU) 648/2012 (EMIR): Regulation (EU) 646/2012 of the European Parliament and of the Council of 4 July on OTC derivatives, central counterparties and trade repositories (PbEU 2012, L 201);

  • Regulation (EU) 345/2013 (European venture capital funds): Regulation (EU) No 345/2013 of the European Parliament and of the Council of 17 April 2013 on European venture capital funds (PbEU 2013, L 115);

  • Regulation (EU) 346/2013 (European Social Enterprise Funds): Regulation (EU) 346/2013 of the European Parliament and of the Council of 17 April 2013 on European Social Enterprise Funds (PbEU 2013, L 115);

  • Regulation (EU) 575/2013 (Capital Requirements): Regulation (EU) 575/2013 of the European Parliament and of the Council of 26 June 2013 on prudential requirements for credit institutions and investment firms and amending Regulation (EU) No 648/2012 (PbEU 2013, L 176);

  • Regulation (EU) 806/2014 (Single Resolution Mechanism): Regulation (EU) Council Regulation (EC) No 806/2014 of the European Parliament and of the Council of 15 July 2014 establishing uniform rules and a uniform procedure for the settlement of credit institutions and certain investment firms in the framework of a single market settlement mechanism and a common resolution fund and amending Regulation (EU) No 1093/2010 (PbEU 2014, L 225);

  • Regulation (EU) 909/2014 (central securities depositories): Regulation (EU) 909/2014 of the European Parliament and of the Council of 23 July 2014 on the improvement of securities settlement in the European Union, concerning central securities depositories and amending Directives 98 /26/EC and 2014 /65/EU and Regulation (EU) No 236/2012 (PbEU 2014, L 257);

  • Regulation (EU) No 2015/760 (European long-term investment vehicles): Regulation (EU) 2015/760 of the European Parliament and of the Council of 29 April 2015 on European Long-Term Investment Institutions (PbEU 2015, L 123);

  • Regulation (EU) 2015/35 (Solvency II): Delegated Regulation (EU) No 2015/35 of the Commission of 10 October 2014 supplementing Directive 2009 /138/EC of the European Parliament and of the Council relating to the taking-up and pursuit of the business of Insurance and Reinsurance (Solvency II) (PbEU L 12).


Article 2

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  • 1 As the competent authority, within the meaning of the Regulations listed below, entrusted with the implementation and enforcement of the rules laid down in or pursuant to those Regulations, are designated:

    • a. For Regulation (EC) 809/2004 (prospectus): the Financial Markets Authority;

    • b. For Regulation (EC) 1287/2006 (MiFID): the Financial Markets Authority;

    • c. For Regulation (EC) 924/2009 (cross-border payments): the Financial Markets Authority;

    • D. for Regulation (EC) No 148/ 1060/2009 (rating agencies):

      • 1. in respect of the whole of the Regulation with the exception of Article 4, first paragraph, in so far as it concerns a bank, central counterparty, reinsurer, pension fund, contributory pension institution or insurer, and Article 5a, first paragraph: Financial Market Authority;

      • 2 °. as regards Article 4, first paragraph, in so far as it concerns a bank, central counterparty, reinsurer, pension fund, contributory pension institution or insurer, and Article 5a, first paragraph: de Nederlandsche Bank;

    • e. for Regulation (EU) No 583/2010 (key investor information): the Financial Markets Authority;

    • f. for Regulation (EU) No 1031/2010 (auctioning of greenhouse gas emission allowances), to the extent that it is the power to grant licences as referred to in Article 18, second and third paragraphs, and to withdraw all or part of those authorisations: the Authority Financial Markets;

    • g. for Regulation (EU) No 236/2012 (short selling and credit default swaps): the Financial Markets Authority;

    • h. for Regulation (EU) No 260/2012 (payment services):

      • 1 °. in respect of Articles 3 to 6 and 9, the Netherlands Bank;

      • 2 °. in respect of Article 8, the Consumer and Market Authority;

    • i. for Regulation (EU) No 648/2012 (EMIR):

      • 1 °. in respect of Articles 4, 9,11, 12, in so far as the financial counterparty is a bank, insurer, reinsurer or pension fund, as well as with respect to Articles 14 to 21, 25 to 35 and 40 to 54: de Nederlandsche Bank;

      • 2 °. in respect of Articles 4, 9, 11, 12, in so far as the financial counterparty is not a bank, insurer, reinsurer or pension fund, as well as with respect to Articles 5 to 8, 10, 36 to 39, 57, 59, 61 to 63, 68 and 71 to 74, the Financial Markets Authority;

    • j. for Regulation (EU) No 345/2013 (European venture capital funds): the Financial Markets Authority;

    • k. for Regulation (EU) No 346/2013 (European Social Entrepreneur Funds): the Financial Markets Authority;

    • l. for Regulation (EU) No 'Capital requirements' means the Netherlands Bank;

    • m. for Regulation (EU) No 909/2014 (central securities depositories):

      • 1 °. in respect of Article 9, in so far as it concerns a bank, 39 to 47, 54 to 57 and 59 and 60: the Netherlands Bank;

      • 2 °. in respect of Articles 3 to 7, 9, in so far as it concerns an undertaking other than a bank, 16 to 20, 23, 26 to 38 and 48 to 53: the Financial Markets Authority;

    • n. for Regulation (EU) No 2015/760 (European long-term investment vehicles): Financial Markets Authority;

    • o. for Regulation (EU) No 2015/35 (Solvency II): De Nederlandsche Bank.

  • 2 The European Central Bank shall take the place of the Netherlands Bank as the competent authority referred to in paragraph 1, if this is provided for in Articles 4, 5 and 6 of Regulation (EU) No 2482/18 of the European Parliament and of the Council of 21 December 2004 on the Statute of the ESCB Council Regulation (EC) No 1024/2013 of 15 October 2013 confering specific tasks on the European Central Bank concerning policies relating to the prudential supervision of credit institutions (PbEU 2013, L 287).


Article 2a

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  • 1 De Nederlandsche Bank shall seek the opinion of the Financial Markets Authority before:

    • (a) decide on an application as referred to in Articles 14, 15 and 17 of Regulation (EU) No 248/ (2). 648/2012 (EMIR), or within the framework of Article 3:28a of the Act , in so far as they relate to Articles 26 to 35 and 51 to 54 of that Regulation, where that framework is to be assessed in the light of whether or not it complies with the requirements of the Part Conduct Supervision Financial Undertakings Certain; or

    • (b) withdraws an authorisation pursuant to Article 20 of Regulation (EU) No 248/ (2). 648/2012 (EMIR).

  • 2 The Financial Market Authority shall make the opinion in writing within six weeks of the request.

  • 3 The Nederlandsche Bank shall follow the advice referred to in paragraph 1 unless weighty reasons relating to the soundness of the applicant or the stability of the financial system to the judgment of the Netherlands Bank give rise to a derogation from ed. If the Nederlandsche Bank is considering departing, it shall give the Authority Financial Markets an opportunity to give its opinion orally orally. The Nederlandsche Bank shall provide a justification for a derogation in writing.

  • 4 The opinion referred to in paragraph 1 shall form part of the decision in respect of the authorization, consent or withdrawal.


Article 2b

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  • 1 If the Authority intends to grant a licence as referred to in Articles 16 or 19 of Regulation (EU) No 1408/71, the Financial Markets Authority 909/2014 (central securities depositories), to withdraw an authorisation pursuant to Article 20 of that Regulation or on the basis of Article 1:79 or 1:80 of the law take a decision in respect of infringements of Articles 26 to 31 and 48 to 53 of that Regulation, it shall inform the Netherlands Bank of the proposed decision.

  • 2 If the Netherlands Bank finds that there are serious reasons for the soundness of the undertaking concerned or the stability of the financial system in the light of an notification as referred to in paragraph 1 above, It may make a binding recommendation to the Financial Markets Authority on a decision referred to in the first paragraph.

  • 3 A binding recommendation as referred to in paragraph 2 shall state the reasons on which it is based and shall be submitted in writing within six weeks of the notification referred to in paragraph 1.

  • 4 The Financial Market Authority shall implement the binding recommendation referred to in the second paragraph. If the Authority gives financial markets to the recommendation by taking a decision, the recommendation shall form part of the decision to be taken.


Article 3

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As a body referred to in Article 11 (1) of the Regulation (EC) No 1228/EC, 924/2009 (cross-border payments) and Article 12 of the Regulation (EU) No 924/2009 (cross-border payments) 260/2012 (payment services) is designated the Stichting Klachteninstitute Financial Services.


Article 3a

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As a national resolution authority within the meaning of Regulation (EU) No 806/2014 (Single Resolution Mechanism), entrusted with the implementation and enforcement of the rules laid down in or pursuant to that Regulation, shall be designated the Netherlands Bank. The Articles 4 and 5 shall be applicable mutatis mutandis.


Article 4

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The competent authority may, in respect of infringement of the rules laid down in the Annex, Annex 1 the articles referred to a charge under penalty payments.


Article 5

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  • 1 The competent authority may, in respect of infringements of the rules laid down in the Annex, Annex 2 The articles referred to, subject to the tariff numbers set out in that Annex, impose an administrative fine.


Article 6

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The competent authority shall make public a decision on the imposition of administrative penalty if the administrative penalty has been imposed in respect of infringement of Articles 5, first and second paragraphs, 6, first and second paragraphs, 7 first and second paragraph, 8, 9, first paragraph, first sentence, and second paragraph, 17, seventh and ninth to eleventh paragraphs, 18 and 19 of Regulation (EU) No 79/19 of Regulation (EU) No 2389/7. 236/2012 (short selling and credit default swaps).


Article 7

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Article 8 [ Enter into force at a time to be determined]

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This part has not (yet) entered into force; see the summary of changes


Article 9

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  • 1 This Decision, with the exception of the Articles 7 and 8 , shall enter into force with effect from:

    • a. as regards Regulation (EU) No 236/2012 (short selling and credit default swaps): the day after the date of issuance of the Official Gazette, in which this Decision is to be issued;

    • b. in respect of the other Article 1 Regulations mentioned: 1 January 2013.

  • 2 Article 7 shall enter into force with effect from 1 January 2013.

  • 3 Article 8 shall enter into force at the time of entry into force of the law referred to in that Article.


Article 10

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This decision is cited as: Decision implementing EU regulations financial markets.

Charges and orders that this Decision will be placed in the Official Journal by means of the note of explanatory note accompanying it.

' s-Gravenhage, 8 November 2012

Beatrix

The Minister of Finance,

J. R. V. A. Dijsselbloem

Issued the 20th of November 2012

The Minister for Security and Justice,

I. W. Opstelten


Annex 1. Penalty under penalty

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(Annex as intended) Article 4 )


Regulation (EC) No 148/EC 809/2004 (prospectus)

Article 26, fifth paragraph

Article 27

Article 29

Article 30

Article 34


Regulation (EC) No 148/EC 1287/2006 (MiFID)

Article 7

Article 8, first and second paragraphs

Article 17, first paragraph

Article 24

Article 27, first paragraph

Article 29, first to fifth paragraphs

Article 36

Article 37


Regulation (EC) No 148/EC 924/2009 (cross-border payments)

Article 3, first and second paragraphs

Article 4, first and second paragraphs

Article 8, first and fourth paragraphs


Regulation (EC) No 148/EC 1060/2009 (rating agencies)

Article 4, first paragraph

Article 5a, first paragraph

Article 8b

Article 8c

Article 8d


Regulation (EU) No 583/2010 (key investor information)

Article 3, first to third paragraphs

Article 4, first to thirteenth member

Article 5, first to third paragraphs

Article 6

Article 7, first to fourth paragraphs

Article 8, first to fifth paragraphs

Article 9

Article 10, first and second paragraphs

Article 11, first and second paragraphs

Article 12, first to third paragraphs

Article 13, first and second paragraphs

Article 14

Article 15, first to sixth paragraphs

Article 16

Article 17, first and second paragraphs

Article 18, first and second paragraphs

Article 19, first to fourth paragraphs

Article 20, first to third paragraphs

Article 21, first and second paragraphs

Article 22, first to third paragraphs

Article 23, first to third paragraphs

Article 24, first and second paragraphs

Article 25, first to third paragraphs

Article 26, first to fifth paragraphs

Article 27

Article 28

Article 29

Article 30

Article 31, first and second paragraphs

Article 32

Article 33

Article 34, first and second paragraphs

Article 35, first and second paragraphs

Article 36, first to sixth paragraphs

Article 37

Article 38, first to third paragraphs

Annex I

Annex II

Annex III


Regulation (EU) No 1031/2010 (auctioning of greenhouse gas emission allowances)

Article 59, second, third and fifth members


Regulation (EU) No 236/2012 (short selling and credit default swaps)

Article 12, first paragraph

Article 13, first paragraph

Article 14, first paragraph

Article 20

Article 21

Article 23, first to third paragraphs and fifth paragraph

Article 28, first to third paragraphs


Regulation (EU) No 260/2012 (payment services)

Article 3, first and second paragraphs

Article 4, first to third paragraphs

Article 5, first to third paragraphs, and sixth to eighth members

Article 6, first to third paragraphs

Article 8


Regulation (EU) No 648/2012 (Emir)

Article 4, first and third paragraphs

Article 7, first to fourth paragraphs

Article 8, first to fourth paragraphs

Article 9, first to third paragraphs

Article 10, first paragraph

Article 11, first to fourth and eleventh members

Article 14, first and fourth paragraphs

Article 15, first paragraph

Article 16, first and second paragraphs

Article 26, first to eighth paragraphs

Article 27

Article 28

Article 29, first to third paragraphs

Article 31, first and second paragraphs

Article 33

Article 34, first and second paragraphs

Article 35, first and third paragraphs

Article 36

Article 37

Article 38

Article 39, first to eighth paragraphs

Article 40

Article 41, first to fourth paragraphs

Article 42, first to fourth paragraphs

Article 43

Article 44, first paragraph

Article 45, first to fourth paragraphs

Article 46, first and second paragraphs

Article 47, first to seventh paragraphs

Article 48

Article 49, first to third paragraphs

Article 50

Article 51, second to third paragraphs

Article 52

Article 53

Article 54, first paragraph


Regulation (EU) No 345/2013 (European venture capital funds)

Article 4

Article 5, first to third paragraphs

Article 6, first paragraph

Article 7

Article 8

Article 9, first to fourth paragraphs

Article 10

Article 11

Article 12, first and second paragraphs

Article 13, first and second paragraphs

Article 15


Regulation (EU) No 346/2013 (European Social Enterprise Funds)

Article 4

Article 5

Article 6, first paragraph

Article 7

Article 8

Article 9, first to fourth paragraphs

Article 10, first paragraph

Article 11

Article 12, first and second paragraphs

Article 13, first and second paragraphs

Article 14, first and second paragraphs

Article 16


Regulation (EU) No 575/2013 (Capital Requirements)


Part 1. General provisions

Articles 6, 11, 13, 14, first and second paragraphs, 17, first paragraph, 18, first paragraph, and 22.


Part 2. Own funds

Article 26, first and second paragraphs, 28, first paragraph, first paragraph, 29, first paragraph, 32, first paragraph, 33, first and third members, 34, 35, 36, first member, 48, 50, 51, 56, 61, 62, 63, 66, 71, 72, 73, first and third member, 74, 76, first and second member, 77, 84, first and second members paragraph, 85, first and second paragraphs, 86, 87, first and second paragraphs, 88, 89 and 91.


Part 3. Capital requirements

Articles 92, 93, 94, 95, first and second paragraphs, 96, 97, first and third paragraphs, 98, 99, first, second and fourth paragraphs, 101, first to third members, 102, third paragraph, 103, 104, 105, first to thirteenth member, 106, 109, 110, first to third Member, 111, 112, 113, 128, first paragraph, 129, third paragraph, 135, 138, 139, first, second and fourth members, 140, 141, 143, second to fourth members, 146, 147, 148, first and third to fifth members, 149, first and second member, 150, first paragraph, 151, 152, first to fourth members, 153, first to eighth paragraphs, 154, 155, 156, 157, first to third paragraphs, 158, 159, 160, 161, first paragraph, 162 163, first to fifth paragraph, 166 to 172, 173, first and second members, 174, 175, 176, 177, 178, fourth and fifth paragraphs, 179, 180, first and second paragraphs, 181, first and second paragraphs, 182, first to third paragraphs, 183, first and second paragraphs, 184, first paragraph, 185 to 191, 193, 194, first, second, eighth and ninth members, 211, 213, 215, 216, 219 to 226, 228, 229, first and third members, 230, first paragraph, 231, 232, second and third member, 234, 235, 237, 236, 238, 239, 243, 244, first to fifth members, 245, 246, 248, first and third members, 249, 250, 251, 253, 256, 258, 259, 261, 262, 265, 267, 268, 269, 271, 273, 274, 276, 277, 280, 281, 282, 284, 286 to 294, 297, 299, 301, 303, 306, 307, 308, 309, 312 to 335, 323, 326 to 334, 336, 337, 338, 339, 341, 342, 343, 345, second paragraph, 346, 348, 351, 352, 355, 356, second Member, 359, 360, 364 to 370, 372, 373, 374, 376, 378, 379, 382, 383, 384 and 386.


Part 4. Large risk exposures

Articles 387, 390, 392, 393, 394, first to third member, 395 to 403.


Section 5. Exposures to transferred credit risk

Articles 405, 406, 408 and 409.


Part 6. Liquidity

Articles 412, 413, 414, 415, first and second member, 416, 417, 418, 420 to 425, 427 and 428.


Part 7. Leverage

Articles 429 and 430.


Section 8. Public disclosure

Articles 431 to 440, 442, 444 to 449, 450, 451, first paragraph, 452, 453, 454 and 455.


Part 10. Transitional provisions, reports, reviews and amendments

Articles 465, 467 to 481, 492, 499 and 500.


Regulation (EU) No 806/2014 (Single Resolution Mechanism)

Article 8, eighth member and twelfth member, second subparagraph

Article 10, ninth and 11th member

Article 12, first and second paragraphs

Article 13, third paragraph

Article 27, fourth paragraph, third subparagraph, and sixteenth paragraph, fourth subparagraph


Regulation (EU) No 909/2014 (central securities depositories):

Article 3, 5, first and second paragraphs, 6, first to fourth paragraph, point 7, first to third and paragraphs 8 to tenth of paragraph, 9, first paragraph, 16, first, third and fourth paragraphs, 18, first to third paragraph, 19, first, third, fifth, sixth and fourth paragraphs of the first to third and fourth paragraphs of the third paragraph, eighth paragraph, 20, fifth paragraph, 23, first, third, sixth and seventh paragraph, 26, first to seventh paragraph, 27, first to seventh paragraph, 28, first to third paragraphs, fifth and sixth paragraph, 29, first and second paragraphs, 30, first to fourth paragraph, 32, first and second paragraphs, point 34, first to eighth paragraphs, 35, 36, 37, first to third paragraphs, Member, 38, first to seventh paragraphs, 39, first to third paragraphs, and fifth to seventh paragraphs, 40, 41, first to third paragraphs, 42, 43, 44, 45, first to sixth paragraph, 46, first to fifth paragraph, 47, first and second paragraphs, 48, First to ninth paragraphs, 49, first to fourth paragraphs, 50, 51, 52, first and second paragraphs, 53, first to third paragraphs, 54, first and seventh paragraphs, 56, first paragraph, 57, fifth paragraph, and 59, first to fourth members.


Regulation (EU) No 2015/35 (Solvency II)

Articles 2, 4, 5, 6, 7, 9, 10, 11, 12, 13, 14, 15, 16, 17, 20, 21, 22, third paragraph, 23, third paragraph, 24, 25, 26, 40, fourth paragraph, 79, first paragraph, 81, first paragraph, 254, 256, first paragraph, 257, first paragraph, 257, first paragraph, 258, 259, 261, 262, first member, 263, 264, 265, first paragraph, 266, 268, 269, 270, first paragraph, 271, 272, 273, first paragraph, 274, 275, 290, 299, second paragraph, 300, 301, 302, 304, first and second member, 312, 313, 314, 319, 320, first paragraph, 321, 322, 323, second paragraph, 324, first and third member, 325, second to third, fifth member, 327, 359, 360, 361, 362, 363, 365, second and third member, 366, 367, 368, 369, 370, 373, 374, 375, 376, first and second Member, and 377.


Regulation (EU) No 2015/63 (resolution fund):

Article 14, first to sixth paragraphs


Regulation (EU) No 2015/760 (European long-term investment vehicles)

Article 3, first paragraph

Article 4, first and second paragraphs

Article 6, sixth paragraph

Article 9, first and second paragraphs

Article 12

Article 13, first to sixth paragraphs

Articles 14 to 16

Article 18, first to fifth paragraphs

Articles 19 and 20

Article 21, first and second paragraphs

Articles 22 to 24

Article 25, first and second paragraphs

Article 26, first paragraph

Articles 27 to 30

Article 31, first to fourth paragraphs


Annex 2. Administrative penalty

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(Annex as intended) Article 5 )


Regulation (EC) No 148/EC 809/2004 (prospectus)

Article Class Category

26, fifth paragraph

3

27

3

29

3

30

3

34

3


Regulation (EC) No 148/EC 1287/2006 (MiFID)

Article Class Category

7

2

8, first and second members

2

17, first paragraph

2

24

2

27, first paragraph

2

29, first to fifth paragraphs

2

36

2

37

2


Regulation (EC) No 148/EC 924/2009 (cross-border payments)

Article Class Category

Article 3, first and second paragraphs

2

Article 4, first and second paragraphs

1

Article 8, first and fourth paragraphs

1


Regulation (EC) No 148/EC 1060/2009 (rating agencies)

Article Class Category

Article 4, first paragraph

2

Article 5a, first paragraph

2

Article 8b

2

Article 8c

2

Article 8d

2


Regulation (EU) No 583/2010 (key investor information)

Article Class Category

3, first to third members

2

4, first to thirteenth member

2

5, first to third members

2

6

2

7, first to fourth paragraphs

2

8, first to fifth paragraphs

2

9

2

10, first and second members

2

11, first and second members

2

12, first to third members

2

13, first paragraph

2

14

1

15, first to sixth paragraphs

2

16

2

17, first and second members

2

18, first and second members

2

19, first to fourth paragraphs

2

20, first to third members

2

21, first and second members

2

22, first to third members

2

23, first to third members

2

24, first and second members

2

25, first to third members

2

26, first to fifth paragraphs

2

27

2

28

2

29

2

30

2

31, first and second members

2

32

2

33

2

34, first and second members

2

35, first and second members

2

36, first to sixth paragraphs

2

37

2

38, first to third members

2

Annex I

2

Annex II

2

Annex III

2


Regulation (EU) No 1031/2010 (auctioning of greenhouse gas emission allowances)

Article

Class Category

59, second, third and fifth members

2


Regulation (EU) No 236/2012 (short selling and credit default swaps)

Article Class Category

5, first and second members

2

6, first and second members

2

7, first and second members

2

8

2

9, first and second members

2

12, 1st Member

3

13, first paragraph

3

14, first paragraph

3

17, seventh, and ninth to eleventh members

2

18

2

19

2

20

3

21

3

23, first to third Member and fifth Member

3

28, first to third members

3


Regulation (EU) No 260/2012 (payment services)

Article Class Category

3, first and second members

3

4, first to third members

3

5, first to third paragraphs, and sixth to eighth members

2

6, first to third members

3

8

3


Regulation (EU) No 648/2012 (Emir)

Article Class Category

4, first and third members

3

7, first to fourth paragraphs

2

8, first, second and fourth members

2

8, third member

1

9, first and third members

2

9, second paragraph

1

10, 1st Member

2

11, first and fourth members

3

11, second and third members

2

11, 11th Member

1

14, first and fourth members

3

15, 1st Member

3

16, first and second members

3

26, first to sixth Member and eighth Member

2

26, seventh member

1

27

2

28

2

29, first to third members

1

31, first and second members

2

33

2

34, first and second members

2

35, 1st Member

2

35, third member

1

36

2

37

2

38

1

39, first to sixth paragraphs

2

39, seventh and eighth members

1

40

2

41, first to fourth paragraphs

2

42, first to fourth members

2

43

2

44, 1st Member

2

45, first to fourth members

2

46, first and second members

2

47, first to seventh Member

2

48

2

49, first and second members

2

49, third member

1

50

2

51, second and third members

2

52

2

53

2

54, 1st Member

3


Regulation (EU) No 345/2013 (European venture capital funds)

Article

Class Category

Article 4

3

Article 5, first to third paragraphs

2

Article 6, first paragraph

2

Article 7

2

Article 8

2

Article 9, first to fourth paragraphs

2

Article 10

2

Article 11

2

Article 12, first and second paragraphs

1

Article 13, first and second paragraphs

2

Article 15

1


Regulation (EU) No 346/2013 (European Social Enterprise Funds)

Article

Class Category

Article 4

3

Article 5

2

Article 6, first paragraph

2

Article 7

2

Article 8

2

Article 9, first to fourth paragraphs

2

Article 10, first paragraph

2

Article 11

2

Article 12, first and second paragraphs

2

Article 13, first and second paragraphs

1

Article 14, first and second paragraphs

2

Article 16

1


Regulation (EU) No 575/2013 (Capital Requirements)


Part 1. General provisions

Class 2 Category 2 : Articles 6, 13, 14, first and second paragraphs, 17, first paragraph, 18, first paragraph and 22.

Floor category 3 : Article 11.


Part 2. Own funds

Class 2 Category 2 : Articles 29, first paragraph, 32, first paragraph, 33, first and third paragraphs, 34, 35, 36, first paragraph, 48, 56, 66, 73, first and third paragraphs, 74, 76, first and second paragraphs, 77, 84, first and second paragraphs, 85, first and second paragraphs, 86, 87, first and second paragraphs and 88.

Floor category 3 : Articles 26, first and second members, 28, first paragraph, 50, 51, 61, 62, 63, 71, 72, 89 and 91.


Part 3. Capital requirements

Type Category 1 : Articles 345, second paragraph, and 356, second paragraph.

Class 2 Category 2 : Articles 102, third paragraph, 103, 104, 105, first to thirteenth member, 106, 110, first to third members, 129, third paragraph, 135, 138, 139, first, second and fourth paragraphs, 140, 141, 146, 147, 148, first and third to fifth paragraphs, 149, first and second paragraphs, second paragraph, 150, first paragraph, 151, 152, first to fourth paragraphs, 153, first to eighth members, 154, 155, 156, 157, first to third members, 158, 159, 160, 161, first paragraph, 162, 163, 164, first to fifth member, 166 to 172, 173, first and second members, 174, 175, 176, 177, 178, fourth and fifth member, 179, 180, first and second paragraphs, 181, first and tweed member, 182, first of all, 183, first and second paragraphs, 184, first paragraph, 185, 186, 187, 188, 191, 211, 213, 215, 216, 219 to 226, 228, 229, first and third members, 230, first paragraph, 231, 232, second and third paragraphs, 234 to 239, 243, 244, first to fifth Member States, 246, 249, 250, 251, 253, 261, 262, 265, 268, 269, 271, 273, 274, 276, 277, 280, 281, 282, 284, 286 to 294, 297, 299, 301, 303, 306, 308, 309, 315, 316, 318, 323, 326 to 334, 336, 337, 338, 339, 341, 342, 343, 346, 348, 351, 352, 355, 359, 360, 365, 366, 367, 368, 370, 372, 373, 374, 376, 378, 379, 382, 383, 384 and 386.

Floor category 3 2: Articles 92, 93, 94, 95, first and second paragraphs, 96, 97, first and third paragraphs, 98, 99, first, second and fourth paragraphs, 101, first to third paragraphs, 109, 111, 112, 113, 128, first paragraph, 143, second to fourth paragraph, 189, 190, 193, 194, first, second, eighth and ninth members, 245, 248, first and third member, 256, 258, 259, 267, 307, 312, 313, 314, 317, 364 and 369.


Part 4. Large risk exposures

Class 2 Category 2 : Articles 390, 392, 393, 396, 397, 398 and 400.

Floor category 3 : Articles 387, 394, first to third member, 395, 399, 401, 402 and 403.


Section 5. Exposures to transferred credit risk

Class 2 Category 2 : Article 408.

Floor category 3 : Articles 405, 406 and 409.


Part 6. Liquidity

Class 2 Category 2 : Articles 417, 418, 420 to 425, 427 and 428.

Floor category 3 : Articles 412, 413, 414, 415, first and second paragraphs, and 416.


Part 7: Leverage

Floor category 3 : Articles 429 and 430.


Section 8. Public disclosure

Class 2 Category 2 : Articles 432 to 440, 442, 444 to 450, 452, 453, 454 and 455.

Floor category 3 : Articles 431 and 451, first paragraph.


Part 10. Transitional provisions, reports, reviews and amendments

Class 2 Category 2 : Articles 467 to 481 and 492.

Floor category 3 : Articles 465, 499 and 500.


Regulation (EU) No 806/2014 (Single Resolution Mechanism)

Article Class Category

Article 8, eighth paragraph

2

Article 8, 12th paragraph, second subparagraph

3

Article 10, ninth and 11th member

3

Article 12, first and second paragraphs

3

Article 13, third paragraph

2

Article 27 (4), fourth paragraph, third subparagraph

3

Article 27 (16), fourth subparagraph

2


Regulation (EU) No 909/2014 (central securities depositories):

Class Category 1: Articles 7, eighth paragraph, 9, first paragraph, 19, eighth paragraph, 26, fourth paragraph, 28, sixth paragraph, 29, first and second paragraphs, 30, third paragraph, 34, first to eighth member, 35, 38, sixth member and 48, seventh member.

Class 2: Article 6, first to fourth paragraph, point 7, first, second, ninth and tenth paragraphs, points (b) and (c), (c), (c), (c), (c), (c), (c), (c) (d), (c), (c), (ii) and (c), (2) and (d), (2), (2) and (7), (2) seventh paragraph, 28, first to third paragraphs, and fifth paragraph, 30, first and second paragraphs, 32, first and second paragraphs, 33, first to fourth paragraphs, 36, 37, first to third paragraph, 38, seventh paragraph, 39, first to third members and fifth to third members, and fifth to third members, Seventh Member, 40, 41, first to third members, 42, 43, 44, 45, first to sixth paragraphs, 46, first to fifth paragraphs, 47, first and second paragraphs, 48, first, third to sixth member, and eighth and ninth paragraphs, 49 first to fourth paragraphs, 50, 51, first and second paragraphs, 52, first and second paragraphs, 53, first to third members, 54, seventh member and 57, fifth member.

Class Category 3: Articles 3, 5, first and second paragraphs, of 7, third paragraph, 16, first, third and fourth paragraphs, 18, first to third paragraphs, 19, first, third and sixth paragraphs, 23, first paragraph, 30, fourth paragraph, 38, first to fifth paragraph, 48, second paragraph, 54, first paragraph, 56, First paragraph and 59, first to fourth members.


Regulation (EU) No 2015/35 (Solvency II)

Class Category 1: Articles 301, 313, 360 and 366.

Class 2: Articles 2, 4, 5, 6, 7, 9, 10, 11, 12, 13, 14, 15, 16, 17, 20, 21, 22, third paragraph, 23, third paragraph, 24, 25, 26, 40, fourth paragraph, 79, first paragraph, 81, first paragraph, 254, 256, first paragraph, 257, first member, 257, first paragraph, 258, 259, 261, 262, first member, 263, 264, 265, first paragraph, 263, 264, paragraph, 266, 267, 268, 269, 270, first paragraph, 271, 272, 273, 274, 275, 299, second paragraph, 300, 302, 304, first and second member, 312, 314, 319, 320, first paragraph, 321, 322, 324, first and third member, 325, second to fifth member, 327, 359, 361, 362, 363, 365, second and third members, 367, 368, 369, 370, 373, 374, 375, 376, first and second members, and 377.


Regulation (EU) No 2015/63 (resolution fund):

Article

Class Category

14, first to sixth paragraphs

1


Regulation (EU) No 2015/760 (European long-term investment vehicles)

Article Class Category

Article 3, first paragraph

3

Article 4, first paragraph

3

Article 4, second paragraph

2

Article 6, sixth paragraph

2

Article 9, first and second paragraphs

2

Article 12

2

Article 13, first to sixth paragraphs

2

Article 14

2

Article 15

2

Article 16

2

Article 18, first to fifth paragraphs

2

Article 19

2

Article 20

2

Article 21, first and second paragraphs

2

Article 22

2

Article 23, first paragraph

3

Article 23, second paragraph

2

Article 23, third to fifth paragraphs

1

Article 24

1

Article 25, first and second paragraphs

2

Article 26, first paragraph

2

Article 27

2

Article 28

2

Article 29

2

Article 30

2

Article 31, first to fourth paragraphs

2