Financial Intermediaries in Investment Services or Activities

Francesco Guarracino

Chapter 3 in Italian Banking and Financial Law, 2015, pp 41-55 from Palgrave Macmillan

Abstract: Abstract According to European Directives on markets in financial instruments (no. 2004/39/EC of 21 April 2004, now partly recast1 as no. 2014/65/EU of 15 May 2014 and partly replaced by EU Regulation no. 600/2014), persons who provide investment services and/or perform investment activities2 as a regular occupation or business on a professional basis must be subject to authorization by their home Member States, with the exception of credit institutions authorized under Directive 2013/36/EU (previously under Directive 2000/12/EC), which do not need any additional authorization.

Keywords: Competent Authority; Financial Instrument; Compensation System; Financial Intermediary; Financial Advisor (search for similar items in EconPapers)
Date: 2015
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Persistent link: https://EconPapers.repec.org/RePEc:pal:pmschp:978-1-137-50756-3_3

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DOI: 10.1057/9781137507563_3

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