+Članak 5.
---+Article 5 1
---+Article 5 2
---+Article 5 3
---+Article 5 4

Članak 5.

Članak 5.

1.   Ako investicijsko poduzeće koje prema članku 2. stavku 1. treba pristupiti nekom sustavu ne ispunjava obveze koje treba ispuniti kao član tog sustava, o tome se obavješćuju nadležna tijela koja su izdala ovlaštenje i u suradnji sa sustavom naknade štete ona poduzimaju sve potrebne mjere, uključujući izricanje kazni, kako bi se osiguralo da investicijsko poduzeće ispuni svoje obveze.

2.   Ako se tim mjerama ne uspije osigurati da investicijsko poduzeće ispuni svoje obveze, sustav može, ako je nacionalnim zakonodavstvom dopušteno isključenje člana, uz izričit pristanak nadležnih tijela, dati obavijest o namjeri da isključi investicijsko poduzeće iz članstva u sustavu s rokom od 12 mjeseci. Sustavom se i nadalje pruža pokriće prema članku 2. stavku 2. drugom podstavku u pogledu investicijskog posla koji je izvršen tijekom tog razdoblja. Ako po isteku otkaznog roka investicijsko poduzeće nije ispunilo svoje obveze, sustav naknade štete ga može isključiti, opet uz izričit pristanak nadležnih tijela.

3.   Ako to dopušta nacionalno zakonodavstvo i uz izričit pristanak nadležnih tijela koja su izdala svoje ovlaštenje, investicijsko poduzeće koje je isključeno iz sustava naknade štete za investitore može nastaviti pružati investicijske usluge ako je prije isključenja poduzelo alternativne mjere za naknadu štete kojima se osigurava da investitori uživaju pokriće koje je barem jednako pokriću koje nudi službeno priznati sustav i koje ima značajke jednake značajkama tog sustava.

4.   Ako investicijsko poduzeće čije se isključenje predlaže prema stavku 2. nije u stanju poduzeti alternativne mjere koje su u skladu s uvjetima iz stavka 3., nadležna tijela koja su izdala ovlaštenje odmah ga povlače.

1. Pregled

,
Article 5 1

1. If an investment firm required by Article 2 (1) to belong to a scheme does not meet the obligations incumbent on it as a member of that scheme, the competent authorities which issued its authorization shall be notified and, in cooperation with the compensation scheme, shall take all measures appropriate, including the imposition of penalties, to ensure that the investment firm meets its obligations.
Article 5 2

2. If those measures fail to secure compliance on the part of the investment firm, the scheme may, where national law permits the exclusion of a member, with the express consent of the competent authorities, give not less than 12 months' notice of its intention of excluding the investment firm from membership of the scheme. The scheme shall continue to provide cover under the second subparagraph of Article 2 (2) in respect of investment business transacted during that period. If, on expiry of the period of notice, the investment firm has not met its obligations, the compensation scheme may, again having obtained the express consent of the competent authorities, exclude it.
Article 5 3

3. Where national law permits, and with the express consent of the competent authorities which issued its authorization, an investment firm excluded from an investor-compensation scheme may continue to provide investment services if, before its exclusion, it made alternative compensation arrangements which ensure that investors will enjoy cover that is at least equivalent to that offered by the officially recognized scheme and has characteristics equivalent to those of that scheme.
Article 5 4

4. If an investment firm the exclusion of which is proposed under paragraph 2 is unable to make alternative arrangements which comply with the conditions imposed in paragraph 3, the competent authorities which issued its authorization shall withdraw it forthwith.

1.1 Reference

1.2 Utvrđeni zahtjevi

1.3 Povezani standardi

2. Utvrđeni zahtjevi

Zahtjevi

3. Povezani standardi

Standardi
  • Builddate: 26.03.1997 00:00:00 -Doknr: CELEX:31997L0009
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