3 Amendments of Philippe LAMBERTS related to 2011/0417(COD)
Amendment 99 #
Proposal for a regulation
Article 3 – point l a (new)
Article 3 – point l a (new)
(la) 'financial service provider' means any of the following: (a) the following entities, whether established in the Union or in a third country, that carry out similar activities, that are subject to prudential supervision pursuant to Union law or to third-country prudential supervisory and regulatory requirements that are at least equivalent to those applied in the Union: (i) a credit institution; (ii) an investment firm; (iii) an insurance undertaking; (iv) a financial holding company; (v) a mixed-activity holding company; (b) an entity that performs one or more of the activities listed in Annex I to Directive 2006/48/EC or in Annex I to Directive 2004/39/EC; (c) an entity that acts as an intermediary for the distribution of the products of entities referred to in points (a) and (b);
Amendment 134 #
Proposal for a regulation
Article 9 a (new)
Article 9 a (new)
Article 9a Transitional provisions Venture capital fund managers shall ensure that the 70 % threshold for a qualifying venture capital fund under Article 3(a) is reached within five years after registration of a fund.
Amendment 136 #
Proposal for a regulation
Article 10 a (new)
Article 10 a (new)
Article 10 a Appointment of a depositary For each European venture capital fund it manages, the manager shall ensure that a single depositary is appointed in accordance with Article 21 of the Directive 2011/61/EU. The depositary shall be subject to Article 21 of Directive 2011/61/EU, with the exception of paragraph 9 thereof, and to the implementing measures adopted thereunder. The depositary shall control on an ex-post basis the compliance of the investment of European venture capital funds with the threshold for qualifying venture capital funds under Article 3(a).