4 Amendments of Jim HIGGINS related to 2011/0389(COD)
Amendment 49 #
Proposal for a directive
Article 1 – point 2 – point d
Article 1 – point 2 – point d
(a) entities governed by the law of a Member State whose transferable securities are admitted to trading on a regulated market of any Member State within the meaning of point 14 of Article 4(1) of Directive 2004/39/EC;, other than: (a) captive insurance and captive reinsurance undertakings within the meaning of Articles 13(2) and (5) of Directive 2009/138/EC of the European Parliament and of the Council; (b) EU alternative investment funds as defined in Article 4(1)(k) of Directive 2011/61/EC of the European Parliament and of the Council; (c) undertakings for collective investment in transferable securities (UCITS) as defined in Article 1(2) of Directive 2009/65/EC of the European Parliament and of the Council.
Amendment 50 #
Proposal for a directive
Article 1 – point 2 – point d
Article 1 – point 2 – point d
Directive 2006/43/EC
Article 2 – point 13 – point c
Article 2 – point 13 – point c
(c) insurance undertakings within the meaning of Article 13, other than Articles 13(2) and (5), of Directive 2009/138/EC of the European Parliament and of the Council(**);
Amendment 55 #
Proposal for a directive
Article 1 – point 2 – point d
Article 1 – point 2 – point d
Directive 2006/43/EC
Article 2 – point 13 – point f
Article 2 – point 13 – point f
(f) investment firms as defined in point 1 of Article 4(1) ofregulated under Directive 2004/39/EC;
Amendment 135 #
Proposal for a directive
Article 1 – point 16
Article 1 – point 16
Directive 2006/43/EC
Article 32 a – paragraph 1
Article 32 a – paragraph 1
Member States may allow the competent authority referred to in Article 32 to delegate tasks to other authorities or bodies designated by law only as regards: (a) the approval and registration of statutory auditors and audit firms. Any execu, (b) the education and qualification of stasks by other authorities or bodies shall be expressly delegated by the competent authority. The delegation shall specify the delegated tasks and the conditions under which they are to be carried out. The authorities or bodies shall be organized in such a manner that there are no conflicts of interest. The ultimate responsibility for supervising compliance with this Directive and the implementing measures adopted pursuant thereto shall lie with the delegatingtutory auditors, (c) the organization of the public register of statutory auditors and audit firms and (d) quality assurance reviews of statutory auditors and audit firms that undertake only non-public-interest entity engagements. (e) investigative and disciplinary systems for statutory auditors or audit firms that undertake only non-public-interest entity engagements, Any execution of tasks by other authorities or bodies shall be expressly delegated by the competent authority.