2 Amendments of Christophe HANSEN related to 2023/0167(COD)
Amendment 1172 #
Proposal for a directive
Annex I – paragraph 1 – point 2 – subpoint 3
Annex I – paragraph 1 – point 2 – subpoint 3
Directive 2014/65/EU
Annex II – Section II.1 – subparagraph 8 a (new)
Annex II – Section II.1 – subparagraph 8 a (new)
In the course of that assessment, as a minimum, two of the following criteria shall be satisfied: - the client has carried out on a regular basis investment in Financial Instruments; - each one of significant size, over the last 3 years.
Amendment 1174 #
Proposal for a directive
Annex II a (new)
Annex II a (new)
The investment firm shall consider the corporate purpose of the legal entity: the date of constitution of the legal entity is above 1 year and the corporate purpose in the articles of incorporation includes the activity of "buying, holding and selling financial instruments.