- Y Diweddaraf sydd Ar Gael (Diwygiedig)
- Pwynt Penodol mewn Amser (30/04/2004)
- Gwreiddiol (Fel y’i mabwysiadwyd gan yr UE)
Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments amending Council Directives 85/611/EEC and 93/6/EEC and Directive 2000/12/EC of the European Parliament and of the Council and repealing Council Directive 93/22/EEC (repealed)
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Version Superseded: 03/01/2018
EU Directives are published on this site to aid cross referencing from UK legislation. Since IP completion day (31 December 2020 11.00 p.m.) no amendments have been applied to this version.
1.Member States may choose not to apply this Directive to any persons for which they are the home Member State that:
are not allowed to hold clients' funds or securities and which for that reason are not allowed at any time to place themselves in debit with their clients, and
are not allowed to provide any investment service except the reception and transmission of orders in transferable securities and units in collective investment undertakings and the provision of investment advice in relation to such financial instruments, and
in the course of providing that service, are allowed to transmit orders only to:
investment firms authorised in accordance with this Directive;
credit institutions authorised in accordance with Directive 2000/12/EC;
branches of investment firms or of credit institutions which are authorised in a third country and which are subject to and comply with prudential rules considered by the competent authorities to be at least as stringent as those laid down in this Directive, in Directive 2000/12/EC or in Directive 93/6/EEC;
collective investment undertakings authorised under the law of a Member State to market units to the public and to the managers of such undertakings;
investment companies with fixed capital, as defined in Article 15(4) of Second Council Directive 77/91/EEC of 13 December 1976 on coordination of safeguards which, for the protection of the interests of members and others, are required by Member States of companies within the meaning of the second paragraph of Article 58 of the Treaty, in respect of the formation of public limited liability companies and the maintenance and alteration of their capital, with a view to making such safeguards equivalent(1), the securities of which are listed or dealt in on a regulated market in a Member State;
provided that the activities of those persons are regulated at national level.
2.Persons excluded from the scope of this Directive according to paragraph 1 cannot benefit from the freedom to provide services and/or activities or to establish branches as provided for in Articles 31 and 32 respectively.
OJ L 26, 31.1.1977, p. 1. Directive as last amended by the 1994 Act of Accession.
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