3 Amendments of Ramon TREMOSA i BALCELLS related to 2017/0358(COD)
Amendment 18 #
Proposal for a directive
Recital 11
Recital 11
(11) The proper functioning of the internal market requires that the responsibility for supervising the financial soundness of an investment firm, and in particular its solvency and its financial soundness, lies with the competent authority of its home Member State or, in case the Member State does not possess a competent authority with the characteristics laid down in this Directive, with the competent authority that the Member State should create for the purpose of this Directive. To achieve an effective supervision of investment firms also in other Member States where they provide services or have a branch, close cooperation with the competent authorities of these Member States should be ensured.
Amendment 19 #
Proposal for a directive
Recital 14
Recital 14
(14) To strengthen the prudential supervision of investment firms and the protection of clients of investment firms, auditors should report promptly and as impartially as possible to the competent authorities those facts which can have a serious effect on the financial situation of an investment firm or its administrative and accounting organisation.
Amendment 184 #
Proposal for a directive
Article 46 – paragraph 2 – subparagraph 1 – point c
Article 46 – paragraph 2 – subparagraph 1 – point c
(c) request an auditor or expert to carry out the verification promptly and as impartially as possible in order to possess a third-party assessment.