2 Amendments of Corien WORTMANN-KOOL related to 2011/0296(COD)
Amendment 526 #
Proposal for a regulation
Article 24 – paragraph 1 – introductory part
Article 24 – paragraph 1 – introductory part
1. Financial counterparties as defined in Article 2(6) and non financial counterparties that meet the conditions referred to in Article [5(1b)] of Regulation [ ] (EMIR) shall conclude transactions which are not intragroup transactions as defined in Article [2a] of Regulation [ ] (EMIR) or which are not transactions by pension scheme arrangements as set out in Article [71] of Regulation [ ] (EMIR) for the period referred to in Article [68(1a)] of Regulation [ ] (EMIR) with other financial counterparties as defined in Article 2(6) or non financial counterparties that meet the conditions referred to in Article [5(1b)} of Regulation [ ] (EMIR) in derivatives pertaining to a class of derivatives that has been declared subject to the trading obligation in accordance with the procedure set out in Article 26 and listed in the register referred to in Article 27 only on:
Amendment 770 #
Proposal for a regulation
Article 36 – paragraph 1
Article 36 – paragraph 1
1. A third country firm may provide the serinvestment advice as listed in Article 30nnex I section A of Directive [new MiFID] to eligible counterparties and professional clients established in the Union without the establishment of a branch only where it is registered in the register of third country firms kept by ESMA in accordance with Article 37.