{ "article": { "LEGIARTI000038612305": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L341-17", "ETAT": "VIGUEUR", "TYPE": "AUTONOME", "DATE_FIN": "2999-01-01", "DATE_DEBUT": "2019-05-24" } }, "META_COMMUN": { "ID": "LEGIARTI000038612305", "URL": "article/LEGI/ARTI/00/00/38/61/23/LEGIARTI000038612305.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@typelien": "CODIFICATION" }, { "@id": "LEGIARTI000021721323", "@num": "19", "#text": "Ordonnance n°2010-76 du 21 janvier 2010 - art. 19 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000021719945", "@nortexte": "ECEX0929065R", "@numtexte": "2010-76", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2010-01-21" }, { "@id": "LEGIARTI000038497527", "@num": "87", "#text": "LOI n°2019-486 du 22 mai 2019 - art. 87", "@sens": "cible", "@cidtexte": "JORFTEXT000038496102", "@nortexte": "ECOT1810669L", "@numtexte": "2019-486", "@typelien": "MODIFIE", "@naturetexte": "LOI", "@datesignatexte": "2019-05-22" }, { "@id": "LEGIARTI000035726750", "@num": "L214-89", "#text": "Code monétaire et financier - art. 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Tout manquement aux lois, règlements et obligations professionnelles applicables au démarchage bancaire ou financier commis par les personnes mentionnées aux 1°, 3°, 5°, 7° et 8° de l'article L. 341-3 et à l'article L. 341-4 est sanctionné dans les conditions prévues, selon leur nature ou leurs activités, aux articles L. 612-39, L. 621-15 et L. 621-17.

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\n
" } }, "LEGIARTI000006652212": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L341-3", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2003-08-02", "DATE_DEBUT": "2001-01-01" } }, "META_COMMUN": { "ID": "LEGIARTI000006652212", "URL": "article/LEGI/ARTI/00/00/06/65/22/LEGIARTI000006652212.xml", "NATURE": "Article", "ORIGINE": "LEGI", "ANCIEN_ID": "AELXXXXXXXX341L003AXXXAA" } }, "LIENS": { "LIEN": [ { "@id": "LEGIARTI000006508020", "@num": "10", "#text": "Loi n°66-1010 du 28 décembre 1966 - art. 10 (Ab)", "@sens": "source", "@cidtexte": "JORFTEXT000000880208", "@numtexte": "66-1010", "@typelien": "CONCORDANCE", "@naturetexte": "LOI", "@datesignatexte": "1966-12-28" }, { "@id": "LEGIARTI000006508020", "@num": "10", "#text": "Loi n°66-1010 du 28 décembre 1966 - art. 10 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000880208", "@numtexte": "66-1010", "@typelien": "CONCORDE", "@naturetexte": "LOI", "@datesignatexte": "1966-12-28" }, { "@id": "LEGITEXT000005630278", "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@nortexte": "ECOX0000098R", "@numtexte": "2000-1223", "@typelien": "CODIFICATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2000-12-14" }, { "@id": "LEGIARTI000006234786", "@num": "2", "#text": "Arrêté du 28 septembre 2004 - art. 2 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000441083", "@nortexte": "ECOT0420026A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234787", "@num": "3", "#text": "Arrêté du 28 septembre 2004 - art. 3 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000441083", "@nortexte": "ECOT0420026A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234766", "@num": "2", "#text": "Décret n°2004-1018 du 28 septembre 2004 - art. 2 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000804874", "@nortexte": "ECOT0420024D", "@numtexte": "2004-1018", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234768", "@num": "4", "#text": "Décret n°2004-1018 du 28 septembre 2004 - art. 4 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000804874", "@nortexte": "ECOT0420024D", "@numtexte": "2004-1018", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234769", "@num": "5", "#text": "Décret n°2004-1018 du 28 septembre 2004 - art. 5 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000804874", "@nortexte": "ECOT0420024D", "@numtexte": "2004-1018", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000025913771", "@num": "325-20", "#text": "Arrêté du 12 novembre 2004 - art. 325-20 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000027329714", "@num": "325-3", "#text": "Arrêté du 12 novembre 2004 - art. 325-3 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000037035215", "@num": "325-39", "#text": "Arrêté du 12 novembre 2004 - art. 325-39 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000046130022", "@num": "325-5", "#text": "Arrêté du 12 novembre 2004 - 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art. 63 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000458333", "@nortexte": "SOCX0600085L", "@numtexte": "2006-1770", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "2006-12-30" }, { "@id": "LEGIARTI000029010989", "@num": "35", "#text": "Ordonnance n°2014-559\n du 30 mai 2014 - art. 35 (VD)", "@sens": "cible", "@cidtexte": "JORFTEXT000029008408", "@nortexte": "FCPX1406454R", "@numtexte": "2014-559", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2014-05-30" }, { "@id": "LEGIARTI000049708693", "@num": "12", "#text": "LOI n°2024-537 du 13 juin 2024 - art. 12", "@sens": "cible", "@cidtexte": "JORFTEXT000049707573", "@nortexte": "ECOX2407668L", "@numtexte": "2024-537", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "2024-06-13" }, { "@id": "LEGIARTI000006640620", "@num": "D341-10", "#text": "Code monétaire et financier - art. D341-10 (An)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000039412853", "@num": "D341-12", "#text": "Code monétaire et financier - art. D341-12 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006640739", "@num": "D341-13", "#text": "Code monétaire et financier - art. D341-13 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050372371", "@num": "L341-1", "#text": "Code monétaire et financier - art. L341-1 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000038612338", "@num": "L341-15", "#text": "Code monétaire et financier - art. L341-15 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050372625", "@num": "L341-16", "#text": "Code monétaire et financier - art. L341-16 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000038612305", "@num": "L341-17", "#text": "Code monétaire et financier - art. L341-17 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000039260606", "@num": "L341-2", "#text": "Code monétaire et financier - art. L341-2 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000022962898", "@num": "L341-4", "#text": "Code monétaire et financier - art. 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L752-16 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000031324476", "@num": "L753-10", "#text": "Code monétaire et financier - art. L753-10 (M)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050378722", "@num": "L753-16", "#text": "Code monétaire et financier - art. L753-16 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050378814", "@num": "L754-15", "#text": "Code monétaire et financier - art. L754-15 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000039261355", "@num": "L763-10", "#text": "Code monétaire et financier - art. L763-10 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000006154451", "@fin": "2003-08-02", "#text": "Chapitre Ier : Démarchage concernant les opérations de banque.", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006139975", "@fin": "2005-05-07", "#text": "Titre IV : Le démarchage et le colportage", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006123907", "@fin": "2999-01-01", "#text": "Livre III : Les services", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006101336", "@fin": "2999-01-01", "#text": "Partie législative", "@debut": "2001-01-01" } ] }, "@cid": "LEGITEXT000006072026", "@nature": "CODE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Code monétaire et financier", "@debut": "2001-01-01", "@id_txt": "LEGITEXT000006072026", "@c_titre_court": "Code monétaire et financier" } ], "@date_publi": "2999-01-01", "@date_signature": "2999-01-01" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006652212", "@fin": "2003-08-02", "@num": "L341-3", "@etat": "MODIFIE", "@debut": "2001-01-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006652213", "@fin": "2005-12-01", "@num": "L341-3", "@etat": "MODIFIE", "@debut": "2003-08-02", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006652214", "@fin": "2009-11-01", "@num": "L341-3", "@etat": "MODIFIE", "@debut": "2005-12-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000020867513", "@fin": "2010-10-24", "@num": "L341-3", "@etat": "MODIFIE", "@debut": "2009-11-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000022962903", "@fin": "2013-01-30", "@num": "L341-3", "@etat": "MODIFIE", "@debut": "2010-10-24", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000027007623", "@fin": "2014-01-01", "@num": "L341-3", "@etat": "MODIFIE", "@debut": "2013-01-30", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000027643164", "@fin": "2014-10-01", "@num": "L341-3", "@etat": "MODIFIE", "@debut": "2014-01-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000029025605", "@fin": "2017-04-08", "@num": "L341-3", "@etat": "MODIFIE", "@debut": "2014-10-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000034387253", "@fin": "2018-01-03", "@num": "L341-3", "@etat": "MODIFIE", "@debut": "2017-04-08", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000035042542", "@fin": "2018-01-13", "@num": "L341-3", "@etat": "MODIFIE", "@debut": "2018-01-03", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000035431450", "@fin": "2019-05-24", "@num": "L341-3", "@etat": "MODIFIE", "@debut": "2018-01-13", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000038612385", "@fin": "2021-12-24", "@num": "L341-3", "@etat": "MODIFIE", "@debut": "2019-05-24", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000044563751", "@fin": "2024-06-15", "@num": "L341-3", "@etat": "MODIFIE", "@debut": "2021-12-24", "@origine": "LEGI" } }, { "@etat": "ABROGE_DIFF", "LIEN_ART": { "@id": "LEGIARTI000049720386", "@fin": "2024-12-30", "@num": "L341-3", "@etat": "ABROGE_DIFF", "@debut": "2024-06-15", "@origine": "LEGI" } }, { "@etat": "VIGUEUR_DIFF", "LIEN_ART": { "@id": "LEGIARTI000050367719", "@fin": "2026-07-01", "@num": "L341-3", "@etat": "VIGUEUR_DIFF", "@debut": "2024-12-30", "@origine": "LEGI" } }, { "@etat": "VIGUEUR_DIFF", "LIEN_ART": { "@id": "LEGIARTI000050372427", "@fin": "2999-01-01", "@num": "L341-3", "@etat": "VIGUEUR_DIFF", "@debut": "2026-07-01", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "
Toute propagande ou publicité faite sous quelque forme et par quelque moyen que ce soit à l'une des fins mentionnées au 1 du I de l'article L. 341-2 est réglementée dans des conditions fixées par décret, et doit notamment faire apparaître clairement le taux effectif global des prêts ou des emprunts, ainsi que les charges qui s'y trouvent comprises.
\n
" } }, "LEGIARTI000006652213": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L341-3", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2005-12-01", "DATE_DEBUT": "2003-08-02" } }, "META_COMMUN": { "ID": "LEGIARTI000006652213", "URL": "article/LEGI/ARTI/00/00/06/65/22/LEGIARTI000006652213.xml", "NATURE": "Article", "ORIGINE": "LEGI", "ANCIEN_ID": "AELXXXXXXXX341L003AXXXAB" } }, "LIENS": { "LIEN": [ { "@id": "LEGIARTI000006508020", "@num": "10", "#text": "Loi n°66-1010 du 28 décembre 1966 - art. 10 (Ab)", "@sens": "source", "@cidtexte": "JORFTEXT000000880208", "@numtexte": "66-1010", "@typelien": "CONCORDANCE", "@naturetexte": "LOI", "@datesignatexte": "1966-12-28" }, { "@id": "LEGIARTI000006508020", "@num": "10", "#text": "Loi n°66-1010 du 28 décembre 1966 - art. 10 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000880208", "@numtexte": "66-1010", "@typelien": "CONCORDE", "@naturetexte": "LOI", "@datesignatexte": "1966-12-28" }, { "@id": "JORFTEXT000000693456", "#text": "Loi 85-695 1985-07-11", "@sens": "source", "@cidtexte": "JORFTEXT000000693456", "@numtexte": "85-695", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "1985-07-11" }, { "@id": "LEGITEXT000005630278", "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@nortexte": "ECOX0000098R", "@numtexte": "2000-1223", "@typelien": "CODIFICATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2000-12-14" }, { "@id": "LEGIARTI000006713450", "@num": "50", "#text": "Loi n°2003-706 du 1 août 2003 - art. 50 (V) JORF 2 août 2003", "@sens": "source", "@cidtexte": "JORFTEXT000000428977", "@nortexte": "ECOX0200186L", "@numtexte": "2003-706", "@typelien": "MODIFICATION", "@naturetexte": "LOI", "@datesignatexte": "2003-08-01" }, { "@id": "LEGIARTI000006234786", "@num": "2", "#text": "Arrêté du 28 septembre 2004 - art. 2 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000441083", "@nortexte": "ECOT0420026A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234787", "@num": "3", "#text": "Arrêté du 28 septembre 2004 - art. 3 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000441083", "@nortexte": "ECOT0420026A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234766", "@num": "2", "#text": "Décret n°2004-1018 du 28 septembre 2004 - art. 2 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000804874", "@nortexte": "ECOT0420024D", "@numtexte": "2004-1018", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234768", "@num": "4", "#text": "Décret n°2004-1018 du 28 septembre 2004 - art. 4 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000804874", "@nortexte": "ECOT0420024D", "@numtexte": "2004-1018", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234769", "@num": "5", "#text": "Décret n°2004-1018 du 28 septembre 2004 - art. 5 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000804874", "@nortexte": "ECOT0420024D", "@numtexte": "2004-1018", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000025913771", "@num": "325-20", "#text": "Arrêté du 12 novembre 2004 - art. 325-20 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000027329714", "@num": "325-3", "#text": "Arrêté du 12 novembre 2004 - art. 325-3 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000037035215", "@num": "325-39", "#text": "Arrêté du 12 novembre 2004 - art. 325-39 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000046130022", "@num": "325-5", "#text": "Arrêté du 12 novembre 2004 - art. 325-5 (VD)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000029502072", "@num": "325-57", "#text": "Arrêté du 12 novembre 2004 - art. 325-57 (VD)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000037033740", "@num": "325-73", "#text": "Arrêté du 12 novembre 2004 - art. 325-73 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000025895044", "@num": "335-20", "#text": "Arrêté du 12 novembre 2004 - art. 335-20 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000006659273", "@num": "63", "#text": "Loi n°2006-1770 du 30 décembre 2006 - art. 63 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000458333", "@nortexte": "SOCX0600085L", "@numtexte": "2006-1770", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "2006-12-30" }, { "@id": "LEGIARTI000029010989", "@num": "35", "#text": "Ordonnance n°2014-559\n du 30 mai 2014 - art. 35 (VD)", "@sens": "cible", "@cidtexte": "JORFTEXT000029008408", "@nortexte": "FCPX1406454R", "@numtexte": "2014-559", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2014-05-30" }, { "@id": "LEGIARTI000049708693", "@num": "12", "#text": "LOI n°2024-537 du 13 juin 2024 - art. 12", "@sens": "cible", "@cidtexte": "JORFTEXT000049707573", "@nortexte": "ECOX2407668L", "@numtexte": "2024-537", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "2024-06-13" }, { "@id": "LEGIARTI000006640620", "@num": "D341-10", "#text": "Code monétaire et financier - art. D341-10 (An)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000039412853", "@num": "D341-12", "#text": "Code monétaire et financier - art. D341-12 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006640739", "@num": "D341-13", "#text": "Code monétaire et financier - art. D341-13 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050372371", "@num": "L341-1", "#text": "Code monétaire et financier - art. L341-1 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000038612338", "@num": "L341-15", "#text": "Code monétaire et financier - art. L341-15 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050372625", "@num": "L341-16", "#text": "Code monétaire et financier - art. L341-16 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000038612305", "@num": "L341-17", "#text": "Code monétaire et financier - art. L341-17 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000039260606", "@num": "L341-2", "#text": "Code monétaire et financier - art. L341-2 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000022962898", "@num": "L341-4", "#text": "Code monétaire et financier - art. L341-4 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000021724526", "@num": "L341-6", "#text": "Code monétaire et financier - art. L341-6 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006652227", "@num": "L341-9", "#text": "Code monétaire et financier - art. L341-9 (M)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050366780", "@num": "L353-2", "#text": "Code monétaire et financier - art. L353-2 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006652312", "@num": "L353-4", "#text": "Code monétaire et financier - art. L353-4 (M)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006654292", "@num": "L511-1", "#text": "Code monétaire et financier - art. L511-1 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006656620", "@num": "L518-1", "#text": "Code monétaire et financier - art. L518-1 (M)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657106", "@num": "L531-4", "#text": "Code monétaire et financier - art. L531-4 (M)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006658063", "@num": "L541-1", "#text": "Code monétaire et financier - art. L541-1 (M)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006658095", "@num": "L541-4", "#text": "Code monétaire et financier - art. L541-4 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035043376", "@num": "L541-8-1", "#text": "Code monétaire et financier - art. L541-8-1 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006658393", "@num": "L562-1", "#text": "Code monétaire et financier - art. L562-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006658660", "@num": "L564-3", "#text": "Code monétaire et financier - art. L564-3 (T)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006658745", "@num": "L565-3", "#text": "Code monétaire et financier - art. L565-3 (T)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000019300544", "@num": "L566-3", "#text": "Code monétaire et financier - art. L566-3 (Ab)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050371830", "@num": "L621-9", "#text": "Code monétaire et financier - art. L621-9 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006662999", "@num": "L733-10", "#text": "Code monétaire et financier - art. L733-10 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035044291", "@num": "L743-10", "#text": "Code monétaire et financier - art. L743-10 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050378576", "@num": "L752-16", "#text": "Code monétaire et financier - art. L752-16 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000031324476", "@num": "L753-10", "#text": "Code monétaire et financier - art. L753-10 (M)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050378722", "@num": "L753-16", "#text": "Code monétaire et financier - art. L753-16 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050378814", "@num": "L754-15", "#text": "Code monétaire et financier - art. L754-15 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000039261355", "@num": "L763-10", "#text": "Code monétaire et financier - art. L763-10 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006796289", "@num": "L310-1", "#text": "Code des assurances - art. L310-1 (M)", "@sens": "source", "@cidtexte": "LEGITEXT000006073984", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000006170417", "@fin": "2005-12-01", "#text": "Section 2 : Personnes habilitées à procéder au démarchage.", "@debut": "2003-08-02" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006154461", "@fin": "2005-12-01", "#text": "Chapitre Ier : Démarchage bancaire ou financier", "@debut": "2003-08-02" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006139977", "@fin": "2005-12-01", "#text": "Titre IV : Le démarchage et le colportage.(en vigueur jusqu'au 1er décembre 2005)", "@debut": "2003-08-02" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006123907", "@fin": "2999-01-01", "#text": "Livre III : Les services", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006101336", "@fin": "2999-01-01", "#text": "Partie législative", "@debut": "2001-01-01" } ] }, "@cid": "LEGITEXT000006072026", "@nature": "CODE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Code monétaire et financier", "@debut": "2001-01-01", "@id_txt": "LEGITEXT000006072026", "@c_titre_court": "Code monétaire et financier" } ], "@date_publi": "2999-01-01", "@date_signature": "2999-01-01" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006652212", "@fin": "2003-08-02", "@num": "L341-3", "@etat": "MODIFIE", "@debut": "2001-01-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006652213", "@fin": "2005-12-01", "@num": "L341-3", "@etat": "MODIFIE", "@debut": "2003-08-02", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006652214", "@fin": "2009-11-01", "@num": "L341-3", "@etat": "MODIFIE", "@debut": "2005-12-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000020867513", "@fin": "2010-10-24", "@num": "L341-3", "@etat": "MODIFIE", "@debut": "2009-11-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000022962903", "@fin": "2013-01-30", "@num": "L341-3", "@etat": "MODIFIE", "@debut": "2010-10-24", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000027007623", "@fin": "2014-01-01", "@num": "L341-3", "@etat": "MODIFIE", "@debut": "2013-01-30", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000027643164", "@fin": "2014-10-01", "@num": "L341-3", "@etat": "MODIFIE", "@debut": "2014-01-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000029025605", "@fin": "2017-04-08", "@num": "L341-3", "@etat": "MODIFIE", "@debut": "2014-10-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000034387253", "@fin": "2018-01-03", "@num": "L341-3", "@etat": "MODIFIE", "@debut": "2017-04-08", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000035042542", "@fin": "2018-01-13", "@num": "L341-3", "@etat": "MODIFIE", "@debut": "2018-01-03", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000035431450", "@fin": "2019-05-24", "@num": "L341-3", "@etat": "MODIFIE", "@debut": "2018-01-13", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000038612385", "@fin": "2021-12-24", "@num": "L341-3", "@etat": "MODIFIE", "@debut": "2019-05-24", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000044563751", "@fin": "2024-06-15", "@num": "L341-3", "@etat": "MODIFIE", "@debut": "2021-12-24", "@origine": "LEGI" } }, { "@etat": "ABROGE_DIFF", "LIEN_ART": { "@id": "LEGIARTI000049720386", "@fin": "2024-12-30", "@num": "L341-3", "@etat": "ABROGE_DIFF", "@debut": "2024-06-15", "@origine": "LEGI" } }, { "@etat": "VIGUEUR_DIFF", "LIEN_ART": { "@id": "LEGIARTI000050367719", "@fin": "2026-07-01", "@num": "L341-3", "@etat": "VIGUEUR_DIFF", "@debut": "2024-12-30", "@origine": "LEGI" } }, { "@etat": "VIGUEUR_DIFF", "LIEN_ART": { "@id": "LEGIARTI000050372427", "@fin": "2999-01-01", "@num": "L341-3", "@etat": "VIGUEUR_DIFF", "@debut": "2026-07-01", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "
Ne peuvent recourir ou se livrer à l'activité de démarchage bancaire ou financier, dans la limite des dispositions particulières qui les régissent, que :
\n
1° Les établissements de crédit définis à l'article L. 511-1, les organismes mentionnés à l'article L. 518-1, les entreprises d'investissement et les entreprises d'assurance définies respectivement à l'article L. 531-4 du présent code et à l'article L. 310-1 du code des assurances, les sociétés de capital-risque mentionnées à l'article 1er-1 de la loi n° 85-695 du 11 juillet 1985 portant diverses dispositions d'ordre économique et financier, en vue de la souscription des titres qu'elles émettent, ainsi que les établissements et entreprises équivalents agréés dans un autre Etat membre de la Communauté européenne et habilités à intervenir sur le territoire français ;
\n
2° Les entreprises, dans le cadre des dispositifs relevant du titre IV du livre IV du code du travail qu'elles proposent à leurs bénéficiaires, ainsi que les personnes morales qu'elles mandatent pour proposer un de ces dispositifs conclus par l'entreprise. Dans ce cas, et sans préjudice des règles d'information et de commercialisation auxquelles elles sont soumises, seules sont applicables à ces activités de démarchage les dispositions de l'article L. 341-9, du 3° de l'article L. 353-2 et de l'article L. 353-4 du présent code ;
\n
3° Les conseillers en investissements financiers définis à l'article L. 541-1, exclusivement pour les opérations prévues au 5° de l'article L. 341-1.
" } }, "LEGIARTI000006652214": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L341-3", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2009-11-01", "DATE_DEBUT": "2005-12-01" } }, "META_COMMUN": { "ID": "LEGIARTI000006652214", "URL": "article/LEGI/ARTI/00/00/06/65/22/LEGIARTI000006652214.xml", "NATURE": "Article", "ORIGINE": "LEGI", "ANCIEN_ID": "AELXXXXXXXX341L003AXXXAC" } }, "NOTA": { "CONTENU": "
le 3° de l'article L. 353-2 du code monétaire et financier a été abrogé par l'article 7 II de l'ordonnance n° 2005-429 du 6 mai 2005.
\n
Loi 2006-1770 du 30 décembre 2006 art 63 II : Les personnes mentionnées à l'article L341-3 peuvent faire enregistrer, dans les conditions définies à l'article L341-6, les salariés des personnes physiques mandatées le premier jour ouvrable suivant le 30 septembre 2007.
" }, "LIENS": { "LIEN": [ { "@id": "LEGIARTI000006508020", "@num": "10", "#text": "Loi n°66-1010 du 28 décembre 1966 - art. 10 (Ab)", "@sens": "source", "@cidtexte": "JORFTEXT000000880208", "@numtexte": "66-1010", "@typelien": "CONCORDANCE", "@naturetexte": "LOI", "@datesignatexte": "1966-12-28" }, { "@id": "LEGIARTI000006508020", "@num": "10", "#text": "Loi n°66-1010 du 28 décembre 1966 - art. 10 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000880208", "@numtexte": "66-1010", "@typelien": "CONCORDE", "@naturetexte": "LOI", "@datesignatexte": "1966-12-28" }, { "@id": "JORFTEXT000000693456", "#text": "Loi 85-695 1985-07-11", "@sens": "source", "@cidtexte": "JORFTEXT000000693456", "@numtexte": "85-695", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "1985-07-11" }, { "@id": "LEGITEXT000005630278", "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@nortexte": "ECOX0000098R", "@numtexte": "2000-1223", "@typelien": "CODIFICATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2000-12-14" }, { "@id": "LEGIARTI000006234786", "@num": "2", "#text": "Arrêté du 28 septembre 2004 - art. 2 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000441083", "@nortexte": "ECOT0420026A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234787", "@num": "3", "#text": "Arrêté du 28 septembre 2004 - art. 3 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000441083", "@nortexte": "ECOT0420026A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234766", "@num": "2", "#text": "Décret n°2004-1018 du 28 septembre 2004 - art. 2 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000804874", "@nortexte": "ECOT0420024D", "@numtexte": "2004-1018", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234768", "@num": "4", "#text": "Décret n°2004-1018 du 28 septembre 2004 - art. 4 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000804874", "@nortexte": "ECOT0420024D", "@numtexte": "2004-1018", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234769", "@num": "5", "#text": "Décret n°2004-1018 du 28 septembre 2004 - art. 5 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000804874", "@nortexte": "ECOT0420024D", "@numtexte": "2004-1018", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000025913771", "@num": "325-20", "#text": "Arrêté du 12 novembre 2004 - art. 325-20 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000027329714", "@num": "325-3", "#text": "Arrêté du 12 novembre 2004 - art. 325-3 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000037035215", "@num": "325-39", "#text": "Arrêté du 12 novembre 2004 - art. 325-39 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000046130022", "@num": "325-5", "#text": "Arrêté du 12 novembre 2004 - art. 325-5 (VD)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000029502072", "@num": "325-57", "#text": "Arrêté du 12 novembre 2004 - art. 325-57 (VD)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000037033740", "@num": "325-73", "#text": "Arrêté du 12 novembre 2004 - art. 325-73 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000025895044", "@num": "335-20", "#text": "Arrêté du 12 novembre 2004 - art. 335-20 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000006242164", "@num": "5", "#text": "Ordonnance n°2005-648 du 6 juin 2005 - art. 5 () JORF 7 juin 2005 en vigueur le 1er décembre 2005", "@sens": "source", "@cidtexte": "JORFTEXT000000259993", "@nortexte": "ECOX0500090R", "@numtexte": "2005-648", "@typelien": "MODIFICATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2005-06-06" }, { "@id": "LEGIARTI000006659273", "@num": "63", "#text": "Loi n°2006-1770 du 30 décembre 2006 - art. 63 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000458333", "@nortexte": "SOCX0600085L", "@numtexte": "2006-1770", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "2006-12-30" }, { "@id": "LEGIARTI000029010989", "@num": "35", "#text": "Ordonnance n°2014-559\n du 30 mai 2014 - art. 35 (VD)", "@sens": "cible", "@cidtexte": "JORFTEXT000029008408", "@nortexte": "FCPX1406454R", "@numtexte": "2014-559", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2014-05-30" }, { "@id": "LEGIARTI000049708693", "@num": "12", "#text": "LOI n°2024-537 du 13 juin 2024 - art. 12", "@sens": "cible", "@cidtexte": "JORFTEXT000049707573", "@nortexte": "ECOX2407668L", "@numtexte": "2024-537", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "2024-06-13" }, { "@id": "LEGIARTI000006640620", "@num": "D341-10", "#text": "Code monétaire et financier - art. D341-10 (An)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000039412853", "@num": "D341-12", "#text": "Code monétaire et financier - art. D341-12 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006640739", "@num": "D341-13", "#text": "Code monétaire et financier - art. D341-13 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050372371", "@num": "L341-1", "#text": "Code monétaire et financier - art. L341-1 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000038612338", "@num": "L341-15", "#text": "Code monétaire et financier - art. L341-15 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050372625", "@num": "L341-16", "#text": "Code monétaire et financier - art. L341-16 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000038612305", "@num": "L341-17", "#text": "Code monétaire et financier - art. L341-17 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000039260606", "@num": "L341-2", "#text": "Code monétaire et financier - art. L341-2 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000022962898", "@num": "L341-4", "#text": "Code monétaire et financier - art. L341-4 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000021724526", "@num": "L341-6", "#text": "Code monétaire et financier - art. L341-6 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006652227", "@num": "L341-9", "#text": "Code monétaire et financier - art. L341-9 (M)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050366780", "@num": "L353-2", "#text": "Code monétaire et financier - art. L353-2 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006652312", "@num": "L353-4", "#text": "Code monétaire et financier - art. 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Ne peuvent recourir ou se livrer à l'activité de démarchage bancaire ou financier, dans la limite des dispositions particulières qui les régissent, que :
\n
1° Les établissements de crédit définis à l'article L. 511-1, les organismes mentionnés à l'article L. 518-1, les entreprises d'investissement et les entreprises d'assurance définies respectivement à l'article L. 531-4 du présent code et à l'article L. 310-1 du code des assurances, les sociétés de capital-risque mentionnées à l'article 1er-1 de la loi n° 85-695 du 11 juillet 1985 portant diverses dispositions d'ordre économique et financier, en vue de la souscription des titres qu'elles émettent, ainsi que les établissements et entreprises équivalents agréés dans un autre Etat membre de la Communauté européenne et habilités à intervenir sur le territoire français ;
\n
2° Les entreprises, dans le cadre des dispositifs relevant du titre IV du livre IV du code du travail qu'elles proposent à leurs bénéficiaires, ainsi que les personnes morales qu'elles mandatent pour proposer un de ces dispositifs conclus par l'entreprise. Dans ce cas, et sans préjudice des règles d'information et de commercialisation auxquelles elles sont soumises, seules sont applicables à ces activités de démarchage les dispositions de l'article L. 341-9, du 3° de l'article L. 353-2 (1) et de l'article L. 353-4 du présent code ;
\n
3° Les conseillers en investissements financiers définis à l'article L. 541-1, exclusivement pour les opérations prévues au 5° de l'article L. 341-1.
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L565-3 (T)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000023234814", "@num": "L621-9", "#text": "Code monétaire et financier - art. L621-9 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050378576", "@num": "L752-16", "#text": "Code monétaire et financier - art. L752-16 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050378722", "@num": "L753-16", "#text": "Code monétaire et financier - art. L753-16 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050378814", "@num": "L754-15", "#text": "Code monétaire et financier - art. L754-15 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000006154451", "@fin": "2003-08-02", "#text": "Chapitre Ier : Démarchage concernant les opérations de banque.", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006139975", "@fin": "2005-05-07", "#text": "Titre IV : Le démarchage et le colportage", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006123907", "@fin": "2999-01-01", "#text": "Livre III : Les services", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006101336", "@fin": "2999-01-01", "#text": "Partie législative", "@debut": "2001-01-01" } ] }, "@cid": "LEGITEXT000006072026", "@nature": "CODE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Code monétaire et financier", "@debut": "2001-01-01", "@id_txt": "LEGITEXT000006072026", "@c_titre_court": "Code monétaire et financier" } ], "@date_publi": "2999-01-01", "@date_signature": "2999-01-01" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006652215", "@fin": "2003-08-02", "@num": "L341-4", "@etat": "MODIFIE", "@debut": "2001-01-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006652216", "@fin": "2005-05-07", "@num": "L341-4", "@etat": "MODIFIE", "@debut": "2003-08-02", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006652217", "@fin": "2005-12-01", "@num": "L341-4", "@etat": "MODIFIE", "@debut": "2005-05-07", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006652218", "@fin": "2007-09-30", "@num": "L341-4", "@etat": "MODIFIE", "@debut": "2005-12-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006652219", "@fin": "2010-10-24", "@num": "L341-4", "@etat": "MODIFIE", "@debut": "2007-09-30", "@origine": "LEGI" } }, { "@etat": "VIGUEUR", "LIEN_ART": { "@id": "LEGIARTI000022962898", "@fin": "2999-01-01", "@num": "L341-4", "@etat": "VIGUEUR", "@debut": "2010-10-24", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "
Les interdictions édictées à l'article L. 341-1 et aux 1, 2 et 4 du I de l'article L. 341-2 ne sont pas applicables aux établissements de crédit, sous réserve qu'ils agissent dans le cadre de la réglementation qui leur est propre et qu'ils ne s'adressent qu'à des personnes majeures.
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Toutefois, les démarcheurs qui interviennent pour le compte d'un établissement de crédit doivent, sous réserve des conventions internationales, être de nationalité française ou ressortissants d'un Etat membre de la Communauté européenne et porteurs d'une carte spéciale de démarchage délivrée par ledit établissement dans des conditions fixées par décret en Conseil d'Etat.
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Les dispositions de l'article L. 341-1 ne dérogent pas aux prescriptions imposées aux notaires par les textes législatifs ou réglementaires en vigueur. De même, les dispositions de l'article L. 341-2 n'interdisent pas aux notaires la recherche de fonds dans les limites de l'exercice de leur profession et conformément à des règles fixées par décret.
" } }, "LEGIARTI000006652216": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L341-4", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2005-05-07", "DATE_DEBUT": "2003-08-02" } }, "META_COMMUN": { "ID": "LEGIARTI000006652216", "URL": "article/LEGI/ARTI/00/00/06/65/22/LEGIARTI000006652216.xml", "NATURE": "Article", "ORIGINE": "LEGI", "ANCIEN_ID": "AELXXXXXXXX341L004AXXXAB" } }, "LIENS": { "LIEN": [ { "@id": "LEGIARTI000006508030", "@num": "11", "#text": "Loi n°66-1010 du 28 décembre 1966 - art. 11 (M)", "@sens": "source", "@cidtexte": "JORFTEXT000000880208", "@numtexte": "66-1010", "@typelien": "CONCORDANCE", "@naturetexte": "LOI", "@datesignatexte": "1966-12-28" }, { "@id": "LEGIARTI000006508031", "@num": "11", "#text": "Loi n°66-1010 du 28 décembre 1966 - art. 11 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000880208", "@numtexte": "66-1010", "@typelien": "CONCORDE", "@naturetexte": "LOI", "@datesignatexte": "1966-12-28" }, { "@id": "LEGITEXT000005630278", "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@nortexte": "ECOX0000098R", "@numtexte": "2000-1223", "@typelien": "CODIFICATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2000-12-14" }, { "@id": "LEGIARTI000006713450", "@num": "50", "#text": "Loi n°2003-706 du 1 août 2003 - art. 50 (V) JORF 2 août 2003", "@sens": "source", "@cidtexte": "JORFTEXT000000428977", "@nortexte": "ECOX0200186L", "@numtexte": "2003-706", "@typelien": "MODIFICATION", "@naturetexte": "LOI", "@datesignatexte": "2003-08-01" }, { "@id": "LEGIARTI000006234766", "@num": "2", "#text": "Décret n°2004-1018 du 28 septembre 2004 - art. 2 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000804874", "@nortexte": "ECOT0420024D", "@numtexte": "2004-1018", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234768", "@num": "4", "#text": "Décret n°2004-1018 du 28 septembre 2004 - art. 4 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000804874", "@nortexte": "ECOT0420024D", "@numtexte": "2004-1018", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234769", "@num": "5", "#text": "Décret n°2004-1018 du 28 septembre 2004 - art. 5 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000804874", "@nortexte": "ECOT0420024D", "@numtexte": "2004-1018", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234776", "@num": "2", "#text": "Décret n°2004-1019 du 28 septembre 2004 - art. 2 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000805047", "@nortexte": "ECOT0420028D", "@numtexte": "2004-1019", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234779", "@num": "5", "#text": "Décret n°2004-1019 du 28 septembre 2004 - art. 5 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000805047", "@nortexte": "ECOT0420028D", "@numtexte": "2004-1019", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234780", "@num": "6", "#text": "Décret n°2004-1019 du 28 septembre 2004 - art. 6 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000805047", "@nortexte": "ECOT0420028D", "@numtexte": "2004-1019", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000025895084", "@num": "335-27", "#text": "Arrêté du 12 novembre 2004 - art. 335-27 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000006659273", "@num": "63", "#text": "Loi n°2006-1770 du 30 décembre 2006 - art. 63 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000458333", "@nortexte": "SOCX0600085L", "@numtexte": "2006-1770", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "2006-12-30" }, { "@id": "LEGIARTI000043908174", "@num": "10", "#text": "ARRÊTÉ du 3 novembre 2014 - art. 10 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000029700770", "@nortexte": "FCPT1423259A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2014-11-03" }, { "@id": "LEGIARTI000041543015", "@num": "8", "#text": "Décret n°2020-94 du 5 février 2020 - art. 8 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000041539673", "@nortexte": "ECOT1928160D", "@numtexte": "2020-94", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2020-02-05" }, { "@id": "LEGIARTI000006640620", "@num": "D341-10", "#text": "Code monétaire et financier - art. D341-10 (An)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000039412853", "@num": "D341-12", "#text": "Code monétaire et financier - art. D341-12 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006640739", "@num": "D341-13", "#text": "Code monétaire et financier - art. D341-13 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000039412880", "@num": "D341-2", "#text": "Code monétaire et financier - art. D341-2 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006640675", "@num": "D341-5", "#text": "Code monétaire et financier - art. D341-5 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006640684", "@num": "D341-6", "#text": "Code monétaire et financier - art. D341-6 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050372579", "@num": "L341-11", "#text": "Code monétaire et financier - art. L341-11 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000033232675", "@num": "L341-12", "#text": "Code monétaire et financier - art. L341-12 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006652290", "@num": "L341-16", "#text": "Code monétaire et financier - art. L341-16 (MMN)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000038612305", "@num": "L341-17", "#text": "Code monétaire et financier - art. L341-17 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006652212", "@num": "L341-3", "#text": "Code monétaire et financier - art. L341-3 (M)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006652220", "@num": "L341-5", "#text": "Code monétaire et financier - art. L341-5 (M)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000021724526", "@num": "L341-6", "#text": "Code monétaire et financier - art. L341-6 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050366780", "@num": "L353-2", "#text": "Code monétaire et financier - art. L353-2 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000022962844", "@num": "L519-5", "#text": "Code monétaire et financier - art. L519-5 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000020871529", "@num": "L531-2", "#text": "Code monétaire et financier - art. L531-2 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006658393", "@num": "L562-1", "#text": "Code monétaire et financier - art. 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I. - Les personnes mentionnées à l'article L. 341-3 peuvent mandater des personnes physiques afin d'exercer pour leur compte une activité de démarchage bancaire ou financier. Les établissements et entreprises ou institutions mentionnés au 1° de cet article peuvent également mandater des personnes morales à cet effet. Dans ce cas, celles-ci peuvent à leur tour mandater des personnes physiques afin d'exercer cette activité pour leur compte.
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II. - Dans tous les cas, le mandat est nominatif. Il mentionne la nature des produits et services qui en sont l'objet ainsi que les conditions dans lesquelles l'activité de démarchage peut être exercée. Sa durée est limitée à deux ans. Il peut être renouvelé.
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Une même personne physique ou morale peut recevoir des mandats émanant de plusieurs entreprises, institutions ou établissements mentionnés au 1° de l'article L. 341-3. Cette personne informe alors l'ensemble de ses mandants ainsi détenus.
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III. - Les personnes morales mentionnées à l'article L. 341-3 et celles mandatées en application du I du présent article sont civilement responsables du fait des démarcheurs, agissant en cette qualité, auxquels elles ont délivré un mandat. Les personnes morales mentionnées à l'article L. 341-3 demeurent responsables du fait des salariés des personnes morales qu'elles ont mandatées, dans la limite du mandat.
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IV. - Les démarcheurs personnes physiques et les personnes physiques ayant le pouvoir de gérer ou d'administrer les personnes morales mandatées en application du I doivent remplir des conditions d'âge, d'honorabilité et de compétence professionnelle fixées par décret. Il en va de même des salariés ou employés des personnes mentionnées à l'article L. 341-3, lorsqu'ils exercent des activités de démarchage, et de ceux des personnes morales mandatées en application du I du présent article.
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V. - Les règles fixées aux II et IV ne s'appliquent pas aux personnes physiques participant à l'envoi de documents nominatifs, sous réserve qu'elles n'aient aucun contact personnalisé permettant d'influencer le choix de la personne démarchée. Dans ce cas, les personnes morales mentionnées à l'article L. 341-3 ou mandatées en application du I sont considérées comme exerçant directement l'activité de démarchage et sont tenues d'en appliquer les règles.
" } }, "LEGIARTI000006652217": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L341-4", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2005-12-01", "DATE_DEBUT": "2005-05-07" } }, "META_COMMUN": { "ID": "LEGIARTI000006652217", "URL": "article/LEGI/ARTI/00/00/06/65/22/LEGIARTI000006652217.xml", "NATURE": "Article", "ORIGINE": "LEGI", "ANCIEN_ID": "AELXXXXXXXX341L004AXXXAC" } }, "LIENS": { "LIEN": [ { "@id": "LEGIARTI000006508030", "@num": "11", "#text": "Loi n°66-1010 du 28 décembre 1966 - art. 11 (M)", "@sens": "source", "@cidtexte": "JORFTEXT000000880208", "@numtexte": "66-1010", "@typelien": "CONCORDANCE", "@naturetexte": "LOI", "@datesignatexte": "1966-12-28" }, { "@id": "LEGIARTI000006508031", "@num": "11", "#text": "Loi n°66-1010 du 28 décembre 1966 - art. 11 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000880208", "@numtexte": "66-1010", "@typelien": "CONCORDE", "@naturetexte": "LOI", "@datesignatexte": "1966-12-28" }, { "@id": "LEGITEXT000005630278", "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@nortexte": "ECOX0000098R", "@numtexte": "2000-1223", "@typelien": "CODIFICATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2000-12-14" }, { "@id": "LEGIARTI000006234766", "@num": "2", "#text": "Décret n°2004-1018 du 28 septembre 2004 - art. 2 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000804874", "@nortexte": "ECOT0420024D", "@numtexte": "2004-1018", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234768", "@num": "4", "#text": "Décret n°2004-1018 du 28 septembre 2004 - art. 4 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000804874", "@nortexte": "ECOT0420024D", "@numtexte": "2004-1018", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234769", "@num": "5", "#text": "Décret n°2004-1018 du 28 septembre 2004 - art. 5 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000804874", "@nortexte": "ECOT0420024D", "@numtexte": "2004-1018", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234776", "@num": "2", "#text": "Décret n°2004-1019 du 28 septembre 2004 - art. 2 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000805047", "@nortexte": "ECOT0420028D", "@numtexte": "2004-1019", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234779", "@num": "5", "#text": "Décret n°2004-1019 du 28 septembre 2004 - art. 5 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000805047", "@nortexte": "ECOT0420028D", "@numtexte": "2004-1019", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234780", "@num": "6", "#text": "Décret n°2004-1019 du 28 septembre 2004 - art. 6 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000805047", "@nortexte": "ECOT0420028D", "@numtexte": "2004-1019", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000025895084", "@num": "335-27", "#text": "Arrêté du 12 novembre 2004 - art. 335-27 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000006718020", "@num": "48", "#text": "Ordonnance n°2005-429 du 6 mai 2005 - art. 48 () JORF 7 mai 2005", "@sens": "source", "@cidtexte": "JORFTEXT000000424044", "@nortexte": "ECOX0400249R", "@numtexte": "2005-429", "@typelien": "MODIFICATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2005-05-06" }, { "@id": "LEGIARTI000006659273", "@num": "63", "#text": "Loi n°2006-1770 du 30 décembre 2006 - art. 63 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000458333", "@nortexte": "SOCX0600085L", "@numtexte": "2006-1770", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "2006-12-30" }, { "@id": "LEGIARTI000043908174", "@num": "10", "#text": "ARRÊTÉ du 3 novembre 2014 - art. 10 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000029700770", "@nortexte": "FCPT1423259A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2014-11-03" }, { "@id": "LEGIARTI000041543015", "@num": "8", "#text": "Décret n°2020-94 du 5 février 2020 - art. 8 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000041539673", "@nortexte": "ECOT1928160D", "@numtexte": "2020-94", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2020-02-05" }, { "@id": "LEGIARTI000006640620", "@num": "D341-10", "#text": "Code monétaire et financier - art. 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I. - Les personnes mentionnées à l'article L. 341-3 peuvent mandater des personnes physiques afin d'exercer pour leur compte une activité de démarchage bancaire ou financier. Les établissements et entreprises ou institutions mentionnés au 1° de cet article peuvent également mandater des personnes morales à cet effet. Dans ce cas, celles-ci peuvent à leur tour mandater des personnes physiques afin d'exercer cette activité pour leur compte.
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II. - Dans tous les cas, le mandat est nominatif. Il mentionne la nature des produits et services qui en sont l'objet ainsi que les conditions dans lesquelles l'activité de démarchage peut être exercée. Sa durée est limitée à deux ans. Il peut être renouvelé.
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Une même personne physique ou morale peut recevoir des mandats émanant de plusieurs entreprises, institutions ou établissements mentionnés au 1° de l'article L. 341-3. Cette personne informe alors l'ensemble de ses mandants des mandats ainsi détenus.
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III. - Les personnes morales mentionnées à l'article L. 341-3 et celles mandatées en application du I du présent article sont civilement responsables du fait des démarcheurs, agissant en cette qualité, auxquels elles ont délivré un mandat. Les personnes morales mentionnées à l'article L. 341-3 demeurent responsables du fait des salariés des personnes morales qu'elles ont mandatées, dans la limite du mandat.
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IV. - Les démarcheurs personnes physiques et les personnes physiques ayant le pouvoir de gérer ou d'administrer les personnes morales mandatées en application du I doivent remplir des conditions d'âge, d'honorabilité et de compétence professionnelle fixées par décret. Il en va de même des salariés ou employés des personnes mentionnées à l'article L. 341-3, lorsqu'ils exercent des activités de démarchage, et de ceux des personnes morales mandatées en application du I du présent article.
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V. - Les règles fixées aux II et IV ne s'appliquent pas aux personnes physiques participant à l'envoi de documents nominatifs, sous réserve qu'elles n'aient aucun contact personnalisé permettant d'influencer le choix de la personne démarchée. Dans ce cas, les personnes morales mentionnées à l'article L. 341-3 ou mandatées en application du I sont considérées comme exerçant directement l'activité de démarchage et sont tenues d'en appliquer les règles.
" } }, "LEGIARTI000006652218": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L341-4", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2007-09-30", "DATE_DEBUT": "2005-12-01" } }, "META_COMMUN": { "ID": "LEGIARTI000006652218", "URL": "article/LEGI/ARTI/00/00/06/65/22/LEGIARTI000006652218.xml", "NATURE": "Article", "ORIGINE": "LEGI", "ANCIEN_ID": "AELXXXXXXXX341L004AXXXAD" } }, "LIENS": { "LIEN": [ { "@id": "LEGIARTI000006508030", "@num": "11", "#text": "Loi n°66-1010 du 28 décembre 1966 - art. 11 (M)", "@sens": "source", "@cidtexte": "JORFTEXT000000880208", "@numtexte": "66-1010", "@typelien": "CONCORDANCE", "@naturetexte": "LOI", "@datesignatexte": "1966-12-28" }, { "@id": "LEGIARTI000006508031", "@num": "11", "#text": "Loi n°66-1010 du 28 décembre 1966 - art. 11 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000880208", "@numtexte": "66-1010", "@typelien": "CONCORDE", "@naturetexte": "LOI", "@datesignatexte": "1966-12-28" }, { "@id": "LEGITEXT000005630278", "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@nortexte": "ECOX0000098R", "@numtexte": "2000-1223", "@typelien": "CODIFICATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2000-12-14" }, { "@id": "LEGIARTI000006234766", "@num": "2", "#text": "Décret n°2004-1018 du 28 septembre 2004 - art. 2 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000804874", "@nortexte": "ECOT0420024D", "@numtexte": "2004-1018", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234768", "@num": "4", "#text": "Décret n°2004-1018 du 28 septembre 2004 - art. 4 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000804874", "@nortexte": "ECOT0420024D", "@numtexte": "2004-1018", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234769", "@num": "5", "#text": "Décret n°2004-1018 du 28 septembre 2004 - art. 5 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000804874", "@nortexte": "ECOT0420024D", "@numtexte": "2004-1018", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234776", "@num": "2", "#text": "Décret n°2004-1019 du 28 septembre 2004 - art. 2 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000805047", "@nortexte": "ECOT0420028D", "@numtexte": "2004-1019", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234779", "@num": "5", "#text": "Décret n°2004-1019 du 28 septembre 2004 - art. 5 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000805047", "@nortexte": "ECOT0420028D", "@numtexte": "2004-1019", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234780", "@num": "6", "#text": "Décret n°2004-1019 du 28 septembre 2004 - art. 6 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000805047", "@nortexte": "ECOT0420028D", "@numtexte": "2004-1019", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000025895084", "@num": "335-27", "#text": "Arrêté du 12 novembre 2004 - art. 335-27 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000006242164", "@num": "5", "#text": "Ordonnance n°2005-648 du 6 juin 2005 - art. 5 () JORF 7 juin 2005 en vigueur le 1er décembre 2005", "@sens": "source", "@cidtexte": "JORFTEXT000000259993", "@nortexte": "ECOX0500090R", "@numtexte": "2005-648", "@typelien": "MODIFICATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2005-06-06" }, { "@id": "LEGIARTI000006659273", "@num": "63", "#text": "Loi n°2006-1770 du 30 décembre 2006 - art. 63 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000458333", "@nortexte": "SOCX0600085L", "@numtexte": "2006-1770", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "2006-12-30" }, { "@id": "LEGIARTI000043908174", "@num": "10", "#text": "ARRÊTÉ du 3 novembre 2014 - art. 10 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000029700770", "@nortexte": "FCPT1423259A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2014-11-03" }, { "@id": "LEGIARTI000041543015", "@num": "8", "#text": "Décret n°2020-94 du 5 février 2020 - art. 8 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000041539673", "@nortexte": "ECOT1928160D", "@numtexte": "2020-94", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2020-02-05" }, { "@id": "LEGIARTI000006640620", "@num": "D341-10", "#text": "Code monétaire et financier - art. D341-10 (An)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000039412853", "@num": "D341-12", "#text": "Code monétaire et financier - art. D341-12 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006640739", "@num": "D341-13", "#text": "Code monétaire et financier - art. D341-13 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000039412880", "@num": "D341-2", "#text": "Code monétaire et financier - art. D341-2 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006640675", "@num": "D341-5", "#text": "Code monétaire et financier - art. D341-5 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006640684", "@num": "D341-6", "#text": "Code monétaire et financier - art. D341-6 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050372579", "@num": "L341-11", "#text": "Code monétaire et financier - art. L341-11 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000033232675", "@num": "L341-12", "#text": "Code monétaire et financier - art. L341-12 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006652290", "@num": "L341-16", "#text": "Code monétaire et financier - art. L341-16 (MMN)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000038612305", "@num": "L341-17", "#text": "Code monétaire et financier - art. L341-17 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006652212", "@num": "L341-3", "#text": "Code monétaire et financier - art. L341-3 (M)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006652220", "@num": "L341-5", "#text": "Code monétaire et financier - art. L341-5 (M)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000021724526", "@num": "L341-6", "#text": "Code monétaire et financier - art. L341-6 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050366780", "@num": "L353-2", "#text": "Code monétaire et financier - art. L353-2 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000022962844", "@num": "L519-5", "#text": "Code monétaire et financier - art. L519-5 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000020871529", "@num": "L531-2", "#text": "Code monétaire et financier - art. L531-2 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006658393", "@num": "L562-1", "#text": "Code monétaire et financier - art. L562-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006658660", "@num": "L564-3", "#text": "Code monétaire et financier - art. L564-3 (T)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006658745", "@num": "L565-3", "#text": "Code monétaire et financier - art. L565-3 (T)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000023234814", "@num": "L621-9", "#text": "Code monétaire et financier - art. L621-9 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050378576", "@num": "L752-16", "#text": "Code monétaire et financier - art. L752-16 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050378722", "@num": "L753-16", "#text": "Code monétaire et financier - art. L753-16 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050378814", "@num": "L754-15", "#text": "Code monétaire et financier - art. L754-15 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000006170422", "@fin": "2999-01-01", "#text": "Section 2 : Personnes habilitées à procéder au démarchage", "@debut": "2005-12-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006154463", "@fin": "2999-01-01", "#text": "Chapitre Ier : Démarchage bancaire ou financier", "@debut": "2005-12-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006139978", "@fin": "2999-01-01", "#text": "Titre IV : Démarchage, colportage et fourniture à distance de services financiers", "@debut": "2005-12-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006123907", "@fin": "2999-01-01", "#text": "Livre III : Les services", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006101336", "@fin": "2999-01-01", "#text": "Partie législative", "@debut": "2001-01-01" } ] }, "@cid": "LEGITEXT000006072026", "@nature": "CODE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Code monétaire et financier", "@debut": "2001-01-01", "@id_txt": "LEGITEXT000006072026", "@c_titre_court": "Code monétaire et financier" } ], "@date_publi": "2999-01-01", "@date_signature": "2999-01-01" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006652215", "@fin": "2003-08-02", "@num": "L341-4", "@etat": "MODIFIE", "@debut": "2001-01-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006652216", "@fin": "2005-05-07", "@num": "L341-4", "@etat": "MODIFIE", "@debut": "2003-08-02", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006652217", "@fin": "2005-12-01", "@num": "L341-4", "@etat": "MODIFIE", "@debut": "2005-05-07", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006652218", "@fin": "2007-09-30", "@num": "L341-4", "@etat": "MODIFIE", "@debut": "2005-12-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006652219", "@fin": "2010-10-24", "@num": "L341-4", "@etat": "MODIFIE", "@debut": "2007-09-30", "@origine": "LEGI" } }, { "@etat": "VIGUEUR", "LIEN_ART": { "@id": "LEGIARTI000022962898", "@fin": "2999-01-01", "@num": "L341-4", "@etat": "VIGUEUR", "@debut": "2010-10-24", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "
I. - Les personnes mentionnées à l'article L. 341-3 peuvent mandater des personnes physiques afin d'exercer pour leur compte une activité de démarchage bancaire ou financier. Les établissements et entreprises ou institutions mentionnés au 1° de cet article peuvent également mandater des personnes morales à cet effet. Dans ce cas, celles-ci peuvent à leur tour mandater des personnes physiques afin d'exercer cette activité pour leur compte.
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II. - Dans tous les cas, le mandat est nominatif. Il mentionne la nature des produits et services qui en sont l'objet ainsi que les conditions dans lesquelles l'activité de démarchage peut être exercée. Sa durée est limitée à deux ans. Il peut être renouvelé.
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Une même personne physique ou morale peut recevoir des mandats émanant de plusieurs entreprises, institutions ou établissements mentionnés au 1° de l'article L. 341-3. Cette personne informe alors l'ensemble de ses mandants des mandats ainsi détenus.
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III. - Les personnes morales mentionnées à l'article L. 341-3 et celles mandatées en application du I du présent article sont civilement responsables du fait des démarcheurs, agissant en cette qualité, auxquels elles ont délivré un mandat. Les personnes morales mentionnées à l'article L. 341-3 demeurent responsables du fait des salariés des personnes morales qu'elles ont mandatées, dans la limite du mandat.
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IV. - Les démarcheurs personnes physiques et les personnes physiques ayant le pouvoir de gérer ou d'administrer les personnes morales mandatées en application du I doivent remplir des conditions d'âge, d'honorabilité et de compétence professionnelle fixées par décret. Il en va de même des salariés ou employés des personnes mentionnées à l'article L. 341-3, lorsqu'ils exercent des activités de démarchage, et de ceux des personnes morales mandatées en application du I du présent article.
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V. - Les règles fixées aux II et IV ne s'appliquent pas aux personnes physiques participant à l'envoi de documents nominatifs, sous réserve qu'elles n'aient aucun contact personnalisé permettant d'influencer le choix de la personne démarchée. Dans ce cas, les personnes morales mentionnées à l'article L. 341-3 ou mandatées en application du I sont considérées comme exerçant directement l'activité de démarchage et sont tenues d'en appliquer les règles.
" } }, "LEGIARTI000006652219": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L341-4", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2010-10-24", "DATE_DEBUT": "2007-09-30" } }, "META_COMMUN": { "ID": "LEGIARTI000006652219", "URL": "article/LEGI/ARTI/00/00/06/65/22/LEGIARTI000006652219.xml", "NATURE": "Article", "ORIGINE": "LEGI", "ANCIEN_ID": "AELXXXXXXXX341L004AXXXAE" } }, "LIENS": { "LIEN": [ { "@id": "LEGIARTI000006508030", "@num": "11", "#text": "Loi n°66-1010 du 28 décembre 1966 - art. 11 (M)", "@sens": "source", "@cidtexte": "JORFTEXT000000880208", "@numtexte": "66-1010", "@typelien": "CONCORDANCE", "@naturetexte": "LOI", "@datesignatexte": "1966-12-28" }, { "@id": "LEGIARTI000006508031", "@num": "11", "#text": "Loi n°66-1010 du 28 décembre 1966 - art. 11 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000880208", "@numtexte": "66-1010", "@typelien": "CONCORDE", "@naturetexte": "LOI", "@datesignatexte": "1966-12-28" }, { "@id": "LEGITEXT000005630278", "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@nortexte": "ECOX0000098R", "@numtexte": "2000-1223", "@typelien": "CODIFICATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2000-12-14" }, { "@id": "LEGIARTI000006234766", "@num": "2", "#text": "Décret n°2004-1018 du 28 septembre 2004 - art. 2 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000804874", "@nortexte": "ECOT0420024D", "@numtexte": "2004-1018", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234768", "@num": "4", "#text": "Décret n°2004-1018 du 28 septembre 2004 - art. 4 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000804874", "@nortexte": "ECOT0420024D", "@numtexte": "2004-1018", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234769", "@num": "5", "#text": "Décret n°2004-1018 du 28 septembre 2004 - art. 5 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000804874", "@nortexte": "ECOT0420024D", "@numtexte": "2004-1018", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234776", "@num": "2", "#text": "Décret n°2004-1019 du 28 septembre 2004 - art. 2 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000805047", "@nortexte": "ECOT0420028D", "@numtexte": "2004-1019", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234779", "@num": "5", "#text": "Décret n°2004-1019 du 28 septembre 2004 - art. 5 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000805047", "@nortexte": "ECOT0420028D", "@numtexte": "2004-1019", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234780", "@num": "6", "#text": "Décret n°2004-1019 du 28 septembre 2004 - art. 6 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000805047", "@nortexte": "ECOT0420028D", "@numtexte": "2004-1019", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000025895084", "@num": "335-27", "#text": "Arrêté du 12 novembre 2004 - art. 335-27 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000006659273", "@num": "63", "#text": "Loi n°2006-1770 du 30 décembre 2006 - art. 63 (V) JORF 31 décembre 2006 en vigueur le 30 septembre 2007", "@sens": "source", "@cidtexte": "JORFTEXT000000458333", "@nortexte": "SOCX0600085L", "@numtexte": "2006-1770", "@typelien": "MODIFICATION", "@naturetexte": "LOI", "@datesignatexte": "2006-12-30" }, { "@id": "LEGIARTI000006659273", "@num": "63", "#text": "Loi n°2006-1770 du 30 décembre 2006 - art. 63 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000458333", "@nortexte": "SOCX0600085L", "@numtexte": "2006-1770", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "2006-12-30" }, { "@id": "LEGIARTI000043908174", "@num": "10", "#text": "ARRÊTÉ du 3 novembre 2014 - art. 10 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000029700770", "@nortexte": "FCPT1423259A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2014-11-03" }, { "@id": "LEGIARTI000041543015", "@num": "8", "#text": "Décret n°2020-94 du 5 février 2020 - art. 8 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000041539673", "@nortexte": "ECOT1928160D", "@numtexte": "2020-94", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2020-02-05" }, { "@id": "LEGIARTI000006640620", "@num": "D341-10", "#text": "Code monétaire et financier - art. D341-10 (An)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000039412853", "@num": "D341-12", "#text": "Code monétaire et financier - art. D341-12 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006640739", "@num": "D341-13", "#text": "Code monétaire et financier - art. D341-13 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000039412880", "@num": "D341-2", "#text": "Code monétaire et financier - art. D341-2 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006640675", "@num": "D341-5", "#text": "Code monétaire et financier - art. D341-5 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006640684", "@num": "D341-6", "#text": "Code monétaire et financier - art. D341-6 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050372579", "@num": "L341-11", "#text": "Code monétaire et financier - art. L341-11 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000033232675", "@num": "L341-12", "#text": "Code monétaire et financier - art. L341-12 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006652290", "@num": "L341-16", "#text": "Code monétaire et financier - art. L341-16 (MMN)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000038612305", "@num": "L341-17", "#text": "Code monétaire et financier - art. L341-17 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006652212", "@num": "L341-3", "#text": "Code monétaire et financier - art. L341-3 (M)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006652220", "@num": "L341-5", "#text": "Code monétaire et financier - art. L341-5 (M)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000021724526", "@num": "L341-6", "#text": "Code monétaire et financier - art. L341-6 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050366780", "@num": "L353-2", "#text": "Code monétaire et financier - art. L353-2 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000022962844", "@num": "L519-5", "#text": "Code monétaire et financier - art. L519-5 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000020871529", "@num": "L531-2", "#text": "Code monétaire et financier - art. L531-2 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006658393", "@num": "L562-1", "#text": "Code monétaire et financier - art. L562-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006658660", "@num": "L564-3", "#text": "Code monétaire et financier - art. L564-3 (T)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006658745", "@num": "L565-3", "#text": "Code monétaire et financier - art. L565-3 (T)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000023234814", "@num": "L621-9", "#text": "Code monétaire et financier - art. L621-9 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050378576", "@num": "L752-16", "#text": "Code monétaire et financier - art. L752-16 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050378722", "@num": "L753-16", "#text": "Code monétaire et financier - art. L753-16 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050378814", "@num": "L754-15", "#text": "Code monétaire et financier - art. L754-15 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000006170422", "@fin": "2999-01-01", "#text": "Section 2 : Personnes habilitées à procéder au démarchage", "@debut": "2005-12-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006154463", "@fin": "2999-01-01", "#text": "Chapitre Ier : Démarchage bancaire ou financier", "@debut": "2005-12-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006139978", "@fin": "2999-01-01", "#text": "Titre IV : Démarchage, colportage et fourniture à distance de services financiers", "@debut": "2005-12-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006123907", "@fin": "2999-01-01", "#text": "Livre III : Les services", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006101336", "@fin": "2999-01-01", "#text": "Partie législative", "@debut": "2001-01-01" } ] }, "@cid": "LEGITEXT000006072026", "@nature": "CODE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Code monétaire et financier", "@debut": "2001-01-01", "@id_txt": "LEGITEXT000006072026", "@c_titre_court": "Code monétaire et financier" } ], "@date_publi": "2999-01-01", "@date_signature": "2999-01-01" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006652215", "@fin": "2003-08-02", "@num": "L341-4", "@etat": "MODIFIE", "@debut": "2001-01-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006652216", "@fin": "2005-05-07", "@num": "L341-4", "@etat": "MODIFIE", "@debut": "2003-08-02", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006652217", "@fin": "2005-12-01", "@num": "L341-4", "@etat": "MODIFIE", "@debut": "2005-05-07", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006652218", "@fin": "2007-09-30", "@num": "L341-4", "@etat": "MODIFIE", "@debut": "2005-12-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006652219", "@fin": "2010-10-24", "@num": "L341-4", "@etat": "MODIFIE", "@debut": "2007-09-30", "@origine": "LEGI" } }, { "@etat": "VIGUEUR", "LIEN_ART": { "@id": "LEGIARTI000022962898", "@fin": "2999-01-01", "@num": "L341-4", "@etat": "VIGUEUR", "@debut": "2010-10-24", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "
I. - Les personnes mentionnées à l'article L. 341-3 peuvent mandater des personnes physiques afin d'exercer pour leur compte une activité de démarchage bancaire ou financier. Les établissements et entreprises ou institutions mentionnés au 1° de cet article peuvent également mandater des personnes morales à cet effet. Dans ce cas, celles-ci peuvent à leur tour mandater des personnes physiques afin d'exercer cette activité pour leur compte.
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II. - Dans tous les cas, le mandat est nominatif. Il mentionne la nature des produits et services qui en sont l'objet ainsi que les conditions dans lesquelles l'activité de démarchage peut être exercée. Sa durée est limitée à deux ans. Il peut être renouvelé.
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Une même personne physique ou morale peut recevoir des mandats émanant de plusieurs entreprises, institutions ou établissements mentionnés au 1° de l'article L. 341-3. Cette personne informe alors l'ensemble de ses mandants des mandats ainsi détenus.
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III. - Les personnes mentionnées à l'article L. 341-3 et celles mandatées en application du I du présent article sont civilement responsables du fait des démarcheurs, agissant en cette qualité, auxquels elles ont délivré un mandat. Les personnes morales mentionnées à l'article L. 341-3 demeurent responsables du fait des salariés ou employés des personnes physiques ou des personnes morales qu'elles ont mandatées, dans la limite du mandat.
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IV. - Les démarcheurs personnes physiques et les personnes physiques ayant le pouvoir de gérer ou d'administrer les personnes morales mandatées en application du I doivent remplir des conditions d'âge, d'honorabilité et de compétence professionnelle fixées par décret. Il en va de même des salariés ou employés des personnes mentionnées à l'article L. 341-3, lorsqu'ils exercent des activités de démarchage, et de ceux des personnes physiques ou des personnes morales mandatées en application du I du présent article.
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V. - Les règles fixées aux II et IV ne s'appliquent pas aux personnes physiques participant à l'envoi de documents nominatifs, sous réserve qu'elles n'aient aucun contact personnalisé permettant d'influencer le choix de la personne démarchée. Dans ce cas, les personnes morales mentionnées à l'article L. 341-3 ou mandatées en application du I sont considérées comme exerçant directement l'activité de démarchage et sont tenues d'en appliquer les règles.
" } }, "LEGIARTI000006660375": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L621-15", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2002-01-01", "DATE_DEBUT": "2001-01-01" } }, "META_COMMUN": { "ID": "LEGIARTI000006660375", "URL": "article/LEGI/ARTI/00/00/06/66/03/LEGIARTI000006660375.xml", "NATURE": "Article", "ORIGINE": "LEGI", "ANCIEN_ID": "AELXXXXXXXX621L015AXXXAA" } }, "LIENS": { "LIEN": [ { "@id": "LEGIARTI000006738834", "@num": "17", "#text": "Décret n°96-880 du 8 octobre 1996 - art. 17 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000378759", "@nortexte": "ECOT9620035D", "@numtexte": "96-880", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "1996-10-08" }, { "@id": "LEGITEXT000005630278", "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@nortexte": "ECOX0000098R", "@numtexte": "2000-1223", "@typelien": "CODIFICATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2000-12-14" }, { "@id": "LEGIARTI000006209248", "@num": "2", "#text": "Décret n°2002-371 du 14 mars 2002 - art. 2 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000771486", "@nortexte": "ECOT0220010D", "@numtexte": "2002-371", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2002-03-14" }, { "@id": "LEGIARTI000006209249", "@num": "3", "#text": "Décret n°2002-371 du 14 mars 2002 - art. 3 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000771486", "@nortexte": "ECOT0220010D", "@numtexte": "2002-371", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2002-03-14" }, { "@id": "JORFTEXT000000422094", "#text": "Loi 2003-591 2003-07-02 art. 31 I JORF 3 juillet 2003", "@sens": "source", "@cidtexte": "JORFTEXT000000422094", "@nortexte": "FPPX0300014L", "@numtexte": "2003-591", "@typelien": "CODIFICATION", "@naturetexte": "LOI", "@datesignatexte": "2003-07-02" }, { "@id": "LEGIARTI000022336015", "@num": "49", "#text": "Loi n°2003-706 du 1 août 2003 - art. 49 (VD)", "@sens": "cible", "@cidtexte": "JORFTEXT000000428977", "@nortexte": "ECOX0200186L", "@numtexte": "2003-706", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "2003-08-01" }, { "@id": "LEGIARTI000006744394", "@num": "10", "#text": "Décret n°2003-1109 du 21 novembre 2003 - art. 10 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000797295", "@nortexte": "ECOT0320019D", "@numtexte": "2003-1109", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2003-11-21" }, { "@id": "LEGIARTI000006234776", "@num": "2", "#text": "Décret n°2004-1019 du 28 septembre 2004 - art. 2 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000805047", "@nortexte": "ECOT0420028D", "@numtexte": "2004-1019", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234804", "@num": "8", "#text": "Décret n°2004-1023 du 29 septembre 2004 - art. 8 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000802392", "@nortexte": "ECOT0420033D", "@numtexte": "2004-1023", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-29" }, { "@id": "LEGIARTI000022440626", "@num": "143-5", "#text": "Arrêté du 12 octobre 2004 - art. 143-5 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000254713", "@nortexte": "ECOT0420059A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-10-12" }, { "@id": "LEGIARTI000023229228", "@num": "144-2-1", "#text": "Arrêté du 12 octobre 2004 - art. 144-2-1 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000254713", "@nortexte": "ECOT0420059A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-10-12" }, { "@id": "LEGIARTI000022440611", "@num": "144-4", "#text": "Arrêté du 12 octobre 2004 - art. 144-4 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000254713", "@nortexte": "ECOT0420059A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-10-12" }, { "@id": "LEGIARTI000036892760", "@num": "312-1", "#text": "Arrêté du 12 novembre 2004 - art. 312-1 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000025920375", "@num": "313-1", "#text": "Arrêté du 12 novembre 2004 - art. 313-1 (M)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036892936", "@num": "313-10", "#text": "Arrêté du 12 novembre 2004 - art. 313-10 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000028421655", "@num": "313-2", "#text": "Arrêté du 12 novembre 2004 - art. 313-2 (M)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036893028", "@num": "313-27", "#text": "Arrêté du 12 novembre 2004 - art. 313-27 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036892951", "@num": "313-6", "#text": "Arrêté du 12 novembre 2004 - art. 313-6 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000025932739", "@num": "313-74", "#text": "Arrêté du 12 novembre 2004 - art. 313-74 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000025932747", "@num": "313-75", "#text": "Arrêté du 12 novembre 2004 - art. 313-75 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036893926", "@num": "318-18", "#text": "Arrêté du 12 novembre 2004 - art. 318-18 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036893986", "@num": "318-4", "#text": "Arrêté du 12 novembre 2004 - art. 318-4 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036894433", "@num": "318-50", "#text": "Arrêté du 12 novembre 2004 - art. 318-50 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036893977", "@num": "318-6", "#text": "Arrêté du 12 novembre 2004 - art. 318-6 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000037151836", "@num": "321-31", "#text": "Arrêté du 12 novembre 2004 - art. 321-31 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036895424", "@num": "512-12", "#text": "Arrêté du 12 novembre 2004 - art. 512-12 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000028050594", "@num": "541-10", "#text": "Arrêté du 12 novembre 2004 - art. 541-10 (VD)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000037536885", "@num": "560-4 bis", "#text": "Arrêté du 12 novembre 2004 - art. 560-4 bis (T)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000029082416", "@num": "611-1", "#text": "Arrêté du 12 novembre 2004 - art. 611-1 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000006533068", "@num": "2", "#text": "Ordonnance n°2006-931 du 28 juillet 2006 - art. 2 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000790613", "@nortexte": "ECOX0600107R", "@numtexte": "2006-931", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2006-07-28" }, { "@id": "LEGIARTI000019285267", "@num": "160", "#text": "LOI n°2008-776\n du 4 août 2008 - art. 160", "@sens": "cible", "@cidtexte": "JORFTEXT000019283050", "@nortexte": "ECEX0808477L", "@numtexte": "2008-776", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "2008-08-04" }, { "@id": "LEGIARTI000020315589", "@num": "1", "#text": "Ordonnance n°2009-233\n du 26 février 2009 - art. 1 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000020314915", "@nortexte": "ECET0822074R", "@numtexte": "2009-233", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2009-02-26" }, { "@id": "LEGIARTI000021721323", "@num": "19", "#text": "Ordonnance n°2010-76 du 21 janvier 2010 - art. 19 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000021719945", "@nortexte": "ECEX0929065R", "@numtexte": "2010-76", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2010-01-21" }, { "@id": "LEGIARTI000031561587", "@num": "6", "#text": "ORDONNANCE n° 2015-1576 du 3 décembre 2015 - art. 6 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000031560621", "@nortexte": "FCPT1519260R", "@numtexte": "2015-1576", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2015-12-03" }, { "@id": "LEGIARTI000034695027", "@num": "1", "#text": "Décret n°2017-865 du 9 mai 2017 - art. 1", "@sens": "cible", "@cidtexte": "JORFTEXT000034633181", "@nortexte": "ECFT1703547D", "@numtexte": "2017-865", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2017-05-09" }, { "@id": "LEGIARTI000035014371", "@num": "12", "#text": "Ordonnance n°2017-1107 du 22 juin 2017 - art. 12", "@sens": "cible", "@cidtexte": "JORFTEXT000035013490", "@nortexte": "ECOT1706653R", "@numtexte": "2017-1107", "@typelien": "CONCORDE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2017-06-22" }, { "@id": "LEGIARTI000037147775", "#text": "Arrêté du 14 juin 2018 - art.", "@sens": "cible", "@cidtexte": "JORFTEXT000037146528", "@nortexte": "ECOT1816563A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2018-06-14" }, { "@id": "LEGIARTI000039412880", "@num": "D341-2", "#text": "Code monétaire et financier - art. 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L621-17-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000033612118", "@num": "L621-17-1-1", "#text": "Code monétaire et financier - art. L621-17-1-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000044193296", "@num": "L621-2", "#text": "Code monétaire et financier - art. L621-2 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000027011497", "@num": "L621-20-2", "#text": "Code monétaire et financier - art. 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A l'encontre des auteurs des pratiques mentionnées à L. 621-14, la Commission des opérations de bourse peut, après une procédure contradictoire, prononcer les sanctions suivantes :
\n
1. Une sanction pécuniaire qui ne peut excéder dix millions de francs ;
\n
2. Ou, lorsque des profits ont été réalisés, une sanction pécuniaire qui ne peut excéder le décuple de leur montant.
\n
Le montant de la sanction pécuniaire doit être fonction de la gravité des manquements commis et en relation avec les avantages ou les profits tirés de ces manquements.
\n
Les intéressés peuvent se faire représenter ou assister.
\n
La Commission des opérations de bourse peut également ordonner la publication de sa décision dans les journaux ou publications qu'elle désigne. En cas de sanction pécuniaire, les frais sont supportés par les intéressés.
\n
Les décisions de la Commission des opérations de bourse sont motivées. En cas de sanction pécuniaire, les sommes sont versées au Trésor public.
" } }, "LEGIARTI000006660376": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L621-15", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2003-08-02", "DATE_DEBUT": "2002-01-01" } }, "META_COMMUN": { "ID": "LEGIARTI000006660376", "URL": "article/LEGI/ARTI/00/00/06/66/03/LEGIARTI000006660376.xml", "NATURE": "Article", "ORIGINE": "LEGI", "ANCIEN_ID": "AELXXXXXXXX621L015AXXXAB" } }, "LIENS": { "LIEN": [ { "@id": "LEGIARTI000006738834", "@num": "17", "#text": "Décret n°96-880 du 8 octobre 1996 - art. 17 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000378759", "@nortexte": "ECOT9620035D", "@numtexte": "96-880", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "1996-10-08" }, { "@id": "LEGIARTI000006716442", "@num": "3", "#text": "Ordonnance n°2000-916 du 19 septembre 2000 - art. 3 (V) JORF 22 septembre 2002 en vigueur le 1er janvier 2002", "@sens": "source", "@cidtexte": "JORFTEXT000000219672", "@nortexte": "JUSX0000106R", "@numtexte": "2000-916", "@typelien": "MODIFICATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2000-09-19" }, { "@id": "LEGITEXT000005630278", "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@nortexte": "ECOX0000098R", "@numtexte": "2000-1223", "@typelien": "CODIFICATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2000-12-14" }, { "@id": "LEGIARTI000006209248", "@num": "2", "#text": "Décret n°2002-371 du 14 mars 2002 - art. 2 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000771486", "@nortexte": "ECOT0220010D", "@numtexte": "2002-371", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2002-03-14" }, { "@id": "LEGIARTI000006209249", "@num": "3", "#text": "Décret n°2002-371 du 14 mars 2002 - art. 3 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000771486", "@nortexte": "ECOT0220010D", "@numtexte": "2002-371", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2002-03-14" }, { "@id": "LEGIARTI000022336015", "@num": "49", "#text": "Loi n°2003-706 du 1 août 2003 - art. 49 (VD)", "@sens": "cible", "@cidtexte": "JORFTEXT000000428977", "@nortexte": "ECOX0200186L", "@numtexte": "2003-706", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "2003-08-01" }, { "@id": "LEGIARTI000006744394", "@num": "10", "#text": "Décret n°2003-1109 du 21 novembre 2003 - art. 10 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000797295", "@nortexte": "ECOT0320019D", "@numtexte": "2003-1109", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2003-11-21" }, { "@id": "LEGIARTI000006234776", "@num": "2", "#text": "Décret n°2004-1019 du 28 septembre 2004 - 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"@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "
A l'encontre des auteurs des pratiques mentionnées à L. 621-14, la Commission des opérations de bourse peut, après une procédure contradictoire, prononcer les sanctions suivantes :
\n
1. Une sanction pécuniaire qui ne peut excéder 1500000 euros ;
\n
2. Ou, lorsque des profits ont été réalisés, une sanction pécuniaire qui ne peut excéder le décuple de leur montant.
\n
Le montant de la sanction pécuniaire doit être fonction de la gravité des manquements commis et en relation avec les avantages ou les profits tirés de ces manquements.
\n
Les intéressés peuvent se faire représenter ou assister.
\n
La Commission des opérations de bourse peut également ordonner la publication de sa décision dans les journaux ou publications qu'elle désigne. En cas de sanction pécuniaire, les frais sont supportés par les intéressés.
\n
Les décisions de la Commission des opérations de bourse sont motivées. En cas de sanction pécuniaire, les sommes sont versées au Trésor public.
" } }, "LEGIARTI000006660377": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L621-15", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2005-05-07", "DATE_DEBUT": "2003-08-02" } }, "META_COMMUN": { "ID": "LEGIARTI000006660377", "URL": "article/LEGI/ARTI/00/00/06/66/03/LEGIARTI000006660377.xml", "NATURE": "Article", "ORIGINE": "LEGI", "ANCIEN_ID": "AELXXXXXXXX621L015AXXXAC" } }, "LIENS": { "LIEN": [ { "@id": "LEGIARTI000006738834", "@num": "17", "#text": "Décret n°96-880 du 8 octobre 1996 - art. 17 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000378759", "@nortexte": "ECOT9620035D", "@numtexte": "96-880", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "1996-10-08" }, { "@id": "LEGITEXT000005630278", "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@nortexte": "ECOX0000098R", "@numtexte": "2000-1223", "@typelien": "CODIFICATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2000-12-14" }, { "@id": "LEGIARTI000006209248", "@num": "2", "#text": "Décret n°2002-371 du 14 mars 2002 - 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I. - Le collège examine le rapport d'enquête ou de contrôle établi par les services de l'Autorité des marchés financiers, ou la demande formulée par le gouverneur de la Banque de France, président de la Commission bancaire, ou par le président de la Commission de contrôle des assurances, des mutuelles et des institutions de prévoyance.
\n
S'il décide l'ouverture d'une procédure de sanction, il notifie les griefs aux personnes concernées. Il transmet la notification des griefs à la commission des sanctions, qui désigne un rapporteur parmi ses membres. La commission des sanctions ne peut être saisie de faits remontant à plus de trois ans s'il n'a été fait pendant ce délai aucun acte tendant à leur recherche, à leur constatation ou à leur sanction.
\n
En cas d'urgence, le collège peut suspendre d'activité les personnes mentionnées aux a et b du II contre lesquelles des procédures de sanction sont engagées.
\n
Si le collège transmet au procureur de la République le rapport mentionné au premier alinéa, le collège peut décider de rendre publique la transmission.
\n
II. - La commission des sanctions peut, après une procédure contradictoire, prononcer une sanction à l'encontre des personnes suivantes :
\n
a) Les personnes mentionnées aux l° à 8° et 11° du II de l'article L. 621-9, au titre de tout manquement à leurs obligations professionnelles définies par les lois, règlements et règles professionnelles approuvées par l'Autorité des marchés financiers en vigueur, sous réserve des dispositions de l'article L. 613-21 ;
\n
b) Les personnes physiques placées sous l'autorité ou agissant pour le compte de l'une des personnes mentionnées aux 1° à 8° et 11° du II de l'article L. 621-9 au titre de tout manquement à leurs obligations professionnelles définies par les lois, règlements et règles professionnelles approuvées par l'Autorité des marchés financiers en vigueur, sous réserve des dispositions de l'article L. 613-21 ;
\n
c) Toute personne autre que l'une des personnes mentionnées au II de l'article L. 621-9, auteur des pratiques mentionnées au I de l'article L. 621-14.
\n
III. - Les sanctions applicables sont :
\n
a) Pour les personnes mentionnées au a du II, l'avertissement, le blâme, l'interdiction à titre temporaire ou définitif de l'exercice de tout ou partie des services fournis ; la commission des sanctions peut prononcer soit à la place, soit en sus de ces sanctions une sanction pécuniaire dont le montant ne peut être supérieur à 1,5 million d'euros ou au décuple du montant des profits éventuellement réalisés ; les sommes sont versées au fonds de garantie auquel est affiliée la personne sanctionnée ou, à défaut, au Trésor public ;
\n
b) Pour les personnes mentionnées au b du II, l'avertissement, le blâme, le retrait temporaire ou définitif de la carte professionnelle, l'interdiction à titre temporaire ou définitif de l'exercice de tout ou partie des activités ; la commission des sanctions peut prononcer soit à la place, soit en sus de ces sanctions une sanction pécuniaire dont le montant ne peut être supérieur à 1,5 million d'euros ou au décuple du montant des profits éventuellement réalisés en cas de pratiques mentionnées au I de l'article L. 621-14 ou à 300 000 euros ou au quintuple des profits éventuellement réalisés dans les autres cas ; les sommes sont versées au fonds de garantie auquel est affiliée la personne morale sous l'autorité ou pour le compte de qui agit la personne sanctionnée ou, à défaut, au Trésor public ;
\n
c) Pour les personnes mentionnées au c du II, une sanction pécuniaire dont le montant ne peut être supérieur à 1,5 million d'euros ou au décuple du montant des profits éventuellement réalisés ; les sommes sont versées au Trésor public.
\n
Le montant de la sanction doit être fixé en fonction de la gravité des manquements commis et en relation avec les avantages ou les profits éventuellement tirés de ces manquements.
\n
IV. - La commission des sanctions statue par décision motivée, hors la présence du rapporteur. Aucune sanction ne peut être prononcée sans que la personne concernée ou son représentant ait été entendu ou, à défaut, dûment appelé.
\n
V. - La commission des sanctions peut rendre publique sa décision dans les publications, journaux ou supports qu'elle désigne. Les frais sont supportés par les personnes sanctionnées.
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art. 2 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000771486", "@nortexte": "ECOT0220010D", "@numtexte": "2002-371", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2002-03-14" }, { "@id": "LEGIARTI000006209249", "@num": "3", "#text": "Décret n°2002-371 du 14 mars 2002 - art. 3 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000771486", "@nortexte": "ECOT0220010D", "@numtexte": "2002-371", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2002-03-14" }, { "@id": "LEGIARTI000022336015", "@num": "49", "#text": "Loi n°2003-706 du 1 août 2003 - art. 49 (VD)", "@sens": "cible", "@cidtexte": "JORFTEXT000000428977", "@nortexte": "ECOX0200186L", "@numtexte": "2003-706", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "2003-08-01" }, { "@id": "LEGIARTI000006744394", "@num": "10", "#text": "Décret n°2003-1109 du 21 novembre 2003 - art. 10 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000797295", "@nortexte": "ECOT0320019D", "@numtexte": "2003-1109", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2003-11-21" }, { "@id": "LEGIARTI000006234776", "@num": "2", "#text": "Décret n°2004-1019 du 28 septembre 2004 - art. 2 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000805047", "@nortexte": "ECOT0420028D", "@numtexte": "2004-1019", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234804", "@num": "8", "#text": "Décret n°2004-1023 du 29 septembre 2004 - art. 8 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000802392", "@nortexte": "ECOT0420033D", "@numtexte": "2004-1023", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-29" }, { "@id": "LEGIARTI000022440626", "@num": "143-5", "#text": "Arrêté du 12 octobre 2004 - art. 143-5 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000254713", "@nortexte": "ECOT0420059A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-10-12" }, { "@id": "LEGIARTI000023229228", "@num": "144-2-1", "#text": "Arrêté du 12 octobre 2004 - art. 144-2-1 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000254713", "@nortexte": "ECOT0420059A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-10-12" }, { "@id": "LEGIARTI000022440611", "@num": "144-4", "#text": "Arrêté du 12 octobre 2004 - art. 144-4 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000254713", "@nortexte": "ECOT0420059A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-10-12" }, { "@id": "LEGIARTI000036892760", "@num": "312-1", "#text": "Arrêté du 12 novembre 2004 - art. 312-1 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000025920375", "@num": "313-1", "#text": "Arrêté du 12 novembre 2004 - art. 313-1 (M)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036892936", "@num": "313-10", "#text": "Arrêté du 12 novembre 2004 - art. 313-10 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000028421655", "@num": "313-2", "#text": "Arrêté du 12 novembre 2004 - 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art. 318-6 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000037151836", "@num": "321-31", "#text": "Arrêté du 12 novembre 2004 - art. 321-31 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036895424", "@num": "512-12", "#text": "Arrêté du 12 novembre 2004 - art. 512-12 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000028050594", "@num": "541-10", "#text": "Arrêté du 12 novembre 2004 - art. 541-10 (VD)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000037536885", "@num": "560-4 bis", "#text": "Arrêté du 12 novembre 2004 - art. 560-4 bis (T)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000029082416", "@num": "611-1", "#text": "Arrêté du 12 novembre 2004 - art. 611-1 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000006718341", "@num": "82", "#text": "Ordonnance n°2005-429 du 6 mai 2005 - art. 82 () JORF 7 mai 2005", "@sens": "source", "@cidtexte": "JORFTEXT000000424044", "@nortexte": "ECOX0400249R", "@numtexte": "2005-429", "@typelien": "MODIFICATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2005-05-06" }, { "@id": "LEGIARTI000006718350", "@num": "83", "#text": "Ordonnance n°2005-429 du 6 mai 2005 - art. 83 () JORF 7 mai 2005", "@sens": "source", "@cidtexte": "JORFTEXT000000424044", "@nortexte": "ECOX0400249R", "@numtexte": "2005-429", "@typelien": "MODIFICATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2005-05-06" }, { "@id": "LEGIARTI000006533068", "@num": "2", "#text": "Ordonnance n°2006-931 du 28 juillet 2006 - art. 2 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000790613", "@nortexte": "ECOX0600107R", "@numtexte": "2006-931", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2006-07-28" }, { "@id": "LEGIARTI000019285267", "@num": "160", "#text": "LOI n°2008-776\n du 4 août 2008 - art. 160", "@sens": "cible", "@cidtexte": "JORFTEXT000019283050", "@nortexte": "ECEX0808477L", "@numtexte": "2008-776", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "2008-08-04" }, { "@id": "LEGIARTI000020315589", "@num": "1", "#text": "Ordonnance n°2009-233\n du 26 février 2009 - art. 1 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000020314915", "@nortexte": "ECET0822074R", "@numtexte": "2009-233", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2009-02-26" }, { "@id": "LEGIARTI000021721323", "@num": "19", "#text": "Ordonnance n°2010-76 du 21 janvier 2010 - art. 19 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000021719945", "@nortexte": "ECEX0929065R", "@numtexte": "2010-76", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2010-01-21" }, { "@id": "LEGIARTI000031561587", "@num": "6", "#text": "ORDONNANCE n° 2015-1576 du 3 décembre 2015 - art. 6 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000031560621", "@nortexte": "FCPT1519260R", "@numtexte": "2015-1576", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2015-12-03" }, { "@id": "LEGIARTI000034695027", "@num": "1", "#text": "Décret n°2017-865 du 9 mai 2017 - art. 1", "@sens": "cible", "@cidtexte": "JORFTEXT000034633181", "@nortexte": "ECFT1703547D", "@numtexte": "2017-865", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2017-05-09" }, { "@id": "LEGIARTI000035014371", "@num": "12", "#text": "Ordonnance n°2017-1107 du 22 juin 2017 - art. 12", "@sens": "cible", "@cidtexte": "JORFTEXT000035013490", "@nortexte": "ECOT1706653R", "@numtexte": "2017-1107", "@typelien": "CONCORDE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2017-06-22" }, { "@id": "LEGIARTI000037147775", "#text": "Arrêté du 14 juin 2018 - art.", "@sens": "cible", "@cidtexte": "JORFTEXT000037146528", "@nortexte": "ECOT1816563A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2018-06-14" }, { "@id": "LEGIARTI000039412880", "@num": "D341-2", "#text": "Code monétaire et financier - art. D341-2 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006641266", "@num": "D452-2", "#text": "Code monétaire et financier - art. D452-2 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035531095", "@num": "D541-8", "#text": "Code monétaire et financier - art. D541-8 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035531080", "@num": "D547-2", "#text": "Code monétaire et financier - art. D547-2 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000031643654", "@num": "L211-17-1", "#text": "Code monétaire et financier - art. L211-17-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000031094465", "@num": "L322-8", "#text": "Code monétaire et financier - art. L322-8 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000038612305", "@num": "L341-17", "#text": "Code monétaire et financier - art. L341-17 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050487960", "@num": "L465-3-5", "#text": "Code monétaire et financier - art. L465-3-5 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032745713", "@num": "L465-3-6", "#text": "Code monétaire et financier - art. L465-3-6 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000027850912", "@num": "L523-2", "#text": "Code monétaire et financier - art. L523-2 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035042889", "@num": "L532-10", "#text": "Code monétaire et financier - art. L532-10 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035042882", "@num": "L532-11", "#text": "Code monétaire et financier - art. L532-11 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043706887", "@num": "L532-6", "#text": "Code monétaire et financier - art. L532-6 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657679", "@num": "L533-1", "#text": "Code monétaire et financier - art. L533-1 (M)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035043151", "@num": "L533-2", "#text": "Code monétaire et financier - art. L533-2 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032303582", "@num": "L546-4", "#text": "Code monétaire et financier - art. L546-4 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000044564058", "@num": "L547-1", "#text": "Code monétaire et financier - art. L547-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006659824", "@num": "L613-21", "#text": "Code monétaire et financier - art. L613-21 (M)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000039278717", "@num": "L621-12", "#text": "Code monétaire et financier - art. L621-12 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000033613304", "@num": "L621-13-1", "#text": "Code monétaire et financier - art. L621-13-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050370747", "@num": "L621-14", "#text": "Code monétaire et financier - art. L621-14 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050370739", "@num": "L621-14-1", "#text": "Code monétaire et financier - art. 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] }, "BLOC_TEXTUEL": { "CONTENU": "
I. - Le collège examine le rapport d'enquête ou de contrôle établi par les services de l'Autorité des marchés financiers, ou la demande formulée par le gouverneur de la Banque de France, président de la Commission bancaire, ou par le président de la Commission de contrôle des assurances, des mutuelles et des institutions de prévoyance.
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S'il décide l'ouverture d'une procédure de sanction, il notifie les griefs aux personnes concernées. Il transmet la notification des griefs à la commission des sanctions, qui désigne un rapporteur parmi ses membres. La commission des sanctions ne peut être saisie de faits remontant à plus de trois ans s'il n'a été fait pendant ce délai aucun acte tendant à leur recherche, à leur constatation ou à leur sanction.
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En cas d'urgence, le collège peut suspendre d'activité les personnes mentionnées aux a et b du II contre lesquelles des procédures de sanction sont engagées.
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Si le collège transmet au procureur de la République le rapport mentionné au premier alinéa, le collège peut décider de rendre publique la transmission.
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II. - La commission des sanctions peut, après une procédure contradictoire, prononcer une sanction à l'encontre des personnes suivantes :
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a) Les personnes mentionnées aux 1° à 8°, 11° et 12° du II de l'article L. 621-9, au titre de tout manquement à leurs obligations professionnelles définies par les lois, règlements et règles professionnelles approuvées par l'Autorité des marchés financiers en vigueur, sous réserve des dispositions de l'article L. 613-21 ;
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b) Les personnes physiques placées sous l'autorité ou agissant pour le compte de l'une des personnes mentionnées aux 1° à 8°, 11° et 12° du II de l'article L. 621-9 au titre de tout manquement à leurs obligations professionnelles définies par les lois, règlements et règles professionnelles approuvées par l'Autorité des marchés financiers en vigueur, sous réserve des dispositions de l'article L. 613-21 ;
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c) Toute personne autre que l'une des personnes mentionnées au II de l'article L. 621-9, auteur des pratiques mentionnées au I de l'article L. 621-14.
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III. - Les sanctions applicables sont :
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a) Pour les personnes mentionnées au a du II, l'avertissement, le blâme, l'interdiction à titre temporaire ou définitif de l'exercice de tout ou partie des services fournis ; la commission des sanctions peut prononcer soit à la place, soit en sus de ces sanctions une sanction pécuniaire dont le montant ne peut être supérieur à 1,5 million d'euros ou au décuple du montant des profits éventuellement réalisés ; les sommes sont versées au fonds de garantie auquel est affiliée la personne sanctionnée ou, à défaut, au Trésor public ;
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b) Pour les personnes mentionnées au b du II, l'avertissement, le blâme, le retrait temporaire ou définitif de la carte professionnelle, l'interdiction à titre temporaire ou définitif de l'exercice de tout ou partie des activités ; la commission des sanctions peut prononcer soit à la place, soit en sus de ces sanctions une sanction pécuniaire dont le montant ne peut être supérieur à 1,5 million d'euros ou au décuple du montant des profits éventuellement réalisés en cas de pratiques mentionnées au I de l'article L. 621-14 ou à 300 000 euros ou au quintuple des profits éventuellement réalisés dans les autres cas ; les sommes sont versées au fonds de garantie auquel est affiliée la personne morale sous l'autorité ou pour le compte de qui agit la personne sanctionnée ou, à défaut, au Trésor public ;
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c) Pour les personnes mentionnées au c du II, une sanction pécuniaire dont le montant ne peut être supérieur à 1,5 million d'euros ou au décuple du montant des profits éventuellement réalisés ; les sommes sont versées au Trésor public.
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Le montant de la sanction doit être fixé en fonction de la gravité des manquements commis et en relation avec les avantages ou les profits éventuellement tirés de ces manquements.
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IV. - La commission des sanctions statue par décision motivée, hors la présence du rapporteur. Aucune sanction ne peut être prononcée sans que la personne concernée ou son représentant ait été entendu ou, à défaut, dûment appelé.
\n
V. - La commission des sanctions peut rendre publique sa décision dans les publications, journaux ou supports qu'elle désigne. Les frais sont supportés par les personnes sanctionnées.
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] }, "BLOC_TEXTUEL": { "CONTENU": "
I. - Le collège examine le rapport d'enquête ou de contrôle établi par les services de l'Autorité des marchés financiers, ou la demande formulée par le gouverneur de la Banque de France, président de la Commission bancaire, ou par le président de la Commission de contrôle des assurances, des mutuelles et des institutions de prévoyance.
\n
S'il décide l'ouverture d'une procédure de sanction, il notifie les griefs aux personnes concernées. Il transmet la notification des griefs à la commission des sanctions, qui désigne un rapporteur parmi ses membres. La commission des sanctions ne peut être saisie de faits remontant à plus de trois ans s'il n'a été fait pendant ce délai aucun acte tendant à leur recherche, à leur constatation ou à leur sanction.
\n
En cas d'urgence, le collège peut suspendre d'activité les personnes mentionnées aux a et b du II contre lesquelles des procédures de sanction sont engagées.
\n
Si le collège transmet au procureur de la République le rapport mentionné au premier alinéa, le collège peut décider de rendre publique la transmission.
\n
II. - La commission des sanctions peut, après une procédure contradictoire, prononcer une sanction à l'encontre des personnes suivantes :
\n
a) Les personnes mentionnées aux 1° à 8°, 11° et 12° du II de l'article L. 621-9, au titre de tout manquement à leurs obligations professionnelles définies par les lois, règlements et règles professionnelles approuvées par l'Autorité des marchés financiers en vigueur, sous réserve des dispositions de l'article L. 613-21 ;
\n
b) Les personnes physiques placées sous l'autorité ou agissant pour le compte de l'une des personnes mentionnées aux 1° à 8°, 11° et 12° du II de l'article L. 621-9 au titre de tout manquement à leurs obligations professionnelles définies par les lois, règlements et règles professionnelles approuvées par l'Autorité des marchés financiers en vigueur, sous réserve des dispositions de l'article L. 613-21 ;
\n
c) Toute personne qui, sur le territoire français ou à l'étranger, s'est livrée ou a tenté de se livrer à une opération d'initié ou s'est livrée à une manipulation de cours, à la diffusion d'une fausse information ou à tout autre manquement mentionné au premier alinéa du I de l'article L. 621-14, dès lors que ces actes concernent un instrument financier émis par une personne ou une entité faisant appel public à l'épargne ou admis aux négociations sur un marché d'instruments financiers ou pour lequel une demande d'admission aux négociations sur un tel marché a été présentée, dans les conditions déterminées par le règlement général de l'Autorité des marchés financiers ;
\n
d) Toute personne qui, sur le territoire français, s'est livrée ou a tenté de se livrer à une opération d'initié ou s'est livrée à une manipulation de cours, à la diffusion d'une fausse information ou à tout autre manquement mentionné au dernier alinéa du I de l'article L. 621-14, dès lors que ces actes concernent un instrument financier admis aux négociations sur un marché réglementé d'un autre Etat membre de la Communauté européenne ou partie à l'accord sur l'Espace économique européen ou pour lequel une demande d'admission aux négociations sur un tel marché a été présentée.
\n
III. - Les sanctions applicables sont :
\n
a) Pour les personnes mentionnées aux 1° à 8°, 11° et 12° du II de l'article L. 621-9, l'avertissement, le blâme, l'interdiction à titre temporaire ou définitif de l'exercice de tout ou partie des services fournis ; la commission des sanctions peut prononcer soit à la place, soit en sus de ces sanctions une sanction pécuniaire dont le montant ne peut être supérieur à 1,5 million d'euros ou au décuple du montant des profits éventuellement réalisés ; les sommes sont versées au fonds de garantie auquel est affiliée la personne sanctionnée ou, à défaut, au Trésor public ;
\n
b) Pour les personnes physiques placées sous l'autorité ou agissant pour le compte de l'une des personnes mentionnées aux 1° à 8°, 11° et 12° du II de l'article L. 621-9, et l'avertissement, le blâme, le retrait temporaire ou définitif de la carte professionnelle, l'interdiction à titre temporaire ou définitif de l'exercice de tout ou partie des activités ; la commission des sanctions peut prononcer soit à la place, soit en sus de ces sanctions une sanction pécuniaire dont le montant ne peut être supérieur à 1,5 million d'euros ou au décuple du montant des profits éventuellement réalisés en cas de pratiques mentionnées aux c et d du II ou à 300 000 euros ou au quintuple des profits éventuellement réalisés dans les autres cas ; les sommes sont versées au fonds de garantie auquel est affiliée la personne morale sous l'autorité ou pour le compte de qui agit la personne sanctionnée ou, à défaut, au Trésor public ;
\n
c) Pour les personnes autres que l'une des personnes mentionnées au II de l'article L. 621-9, auteurs des faits mentionnés aux c et d du II, une sanction pécuniaire dont le montant ne peut être supérieur à 1,5 million d'euros ou au décuple du montant des profits éventuellement réalisés ; les sommes sont versées au Trésor public.
\n
Le montant de la sanction doit être fixé en fonction de la gravité des manquements commis et en relation avec les avantages ou les profits éventuellement tirés de ces manquements.
\n
IV. - La commission des sanctions statue par décision motivée, hors la présence du rapporteur. Aucune sanction ne peut être prononcée sans que la personne concernée ou son représentant ait été entendu ou, à défaut, dûment appelé.
\n
V. - La commission des sanctions peut rendre publique sa décision dans les publications, journaux ou supports qu'elle désigne. Les frais sont supportés par les personnes sanctionnées.
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] }, "BLOC_TEXTUEL": { "CONTENU": "
I. - Le collège examine le rapport d'enquête ou de contrôle établi par les services de l'Autorité des marchés financiers, ou la demande formulée par le gouverneur de la Banque de France, président de la Commission bancaire, ou par le président de l'Autorité de contrôle des assurances et des mutuelles.
\n
S'il décide l'ouverture d'une procédure de sanction, il notifie les griefs aux personnes concernées. Il transmet la notification des griefs à la commission des sanctions, qui désigne un rapporteur parmi ses membres. La commission des sanctions ne peut être saisie de faits remontant à plus de trois ans s'il n'a été fait pendant ce délai aucun acte tendant à leur recherche, à leur constatation ou à leur sanction.
\n
En cas d'urgence, le collège peut suspendre d'activité les personnes mentionnées aux a et b du II contre lesquelles des procédures de sanction sont engagées.
\n
Si le collège transmet au procureur de la République le rapport mentionné au premier alinéa, le collège peut décider de rendre publique la transmission.
\n
II. - La commission des sanctions peut, après une procédure contradictoire, prononcer une sanction à l'encontre des personnes suivantes :
\n
a) Les personnes mentionnées aux 1° à 8°, 11° et 12° du II de l'article L. 621-9, au titre de tout manquement à leurs obligations professionnelles définies par les lois, règlements et règles professionnelles approuvées par l'Autorité des marchés financiers en vigueur, sous réserve des dispositions de l'article L. 613-21 ;
\n
b) Les personnes physiques placées sous l'autorité ou agissant pour le compte de l'une des personnes mentionnées aux 1° à 8°, 11° et 12° du II de l'article L. 621-9 au titre de tout manquement à leurs obligations professionnelles définies par les lois, règlements et règles professionnelles approuvées par l'Autorité des marchés financiers en vigueur, sous réserve des dispositions de l'article L. 613-21 ;
\n
c) Toute personne qui, sur le territoire français ou à l'étranger, s'est livrée ou a tenté de se livrer à une opération d'initié ou s'est livrée à une manipulation de cours, à la diffusion d'une fausse information ou à tout autre manquement mentionné au premier alinéa du I de l'article L. 621-14, dès lors que ces actes concernent un instrument financier émis par une personne ou une entité faisant appel public à l'épargne ou admis aux négociations sur un marché d'instruments financiers ou pour lequel une demande d'admission aux négociations sur un tel marché a été présentée, dans les conditions déterminées par le règlement général de l'Autorité des marchés financiers ;
\n
d) Toute personne qui, sur le territoire français, s'est livrée ou a tenté de se livrer à une opération d'initié ou s'est livrée à une manipulation de cours, à la diffusion d'une fausse information ou à tout autre manquement mentionné au dernier alinéa du I de l'article L. 621-14, dès lors que ces actes concernent un instrument financier admis aux négociations sur un marché réglementé d'un autre Etat membre de la Communauté européenne ou partie à l'accord sur l'Espace économique européen ou pour lequel une demande d'admission aux négociations sur un tel marché a été présentée.
\n
III. - Les sanctions applicables sont :
\n
a) Pour les personnes mentionnées aux 1° à 8°, 11° et 12° du II de l'article L. 621-9, l'avertissement, le blâme, l'interdiction à titre temporaire ou définitif de l'exercice de tout ou partie des services fournis ; la commission des sanctions peut prononcer soit à la place, soit en sus de ces sanctions une sanction pécuniaire dont le montant ne peut être supérieur à 1,5 million d'euros ou au décuple du montant des profits éventuellement réalisés ; les sommes sont versées au fonds de garantie auquel est affiliée la personne sanctionnée ou, à défaut, au Trésor public ;
\n
b) Pour les personnes physiques placées sous l'autorité ou agissant pour le compte de l'une des personnes mentionnées aux 1° à 8°, 11° et 12° du II de l'article L. 621-9, et l'avertissement, le blâme, le retrait temporaire ou définitif de la carte professionnelle, l'interdiction à titre temporaire ou définitif de l'exercice de tout ou partie des activités ; la commission des sanctions peut prononcer soit à la place, soit en sus de ces sanctions une sanction pécuniaire dont le montant ne peut être supérieur à 1,5 million d'euros ou au décuple du montant des profits éventuellement réalisés en cas de pratiques mentionnées aux c et d du II ou à 300 000 euros ou au quintuple des profits éventuellement réalisés dans les autres cas ; les sommes sont versées au fonds de garantie auquel est affiliée la personne morale sous l'autorité ou pour le compte de qui agit la personne sanctionnée ou, à défaut, au Trésor public ;
\n
c) Pour les personnes autres que l'une des personnes mentionnées au II de l'article L. 621-9, auteurs des faits mentionnés aux c et d du II, une sanction pécuniaire dont le montant ne peut être supérieur à 1,5 million d'euros ou au décuple du montant des profits éventuellement réalisés ; les sommes sont versées au Trésor public.
\n
Le montant de la sanction doit être fixé en fonction de la gravité des manquements commis et en relation avec les avantages ou les profits éventuellement tirés de ces manquements.
\n
IV. - La commission des sanctions statue par décision motivée, hors la présence du rapporteur. Aucune sanction ne peut être prononcée sans que la personne concernée ou son représentant ait été entendu ou, à défaut, dûment appelé.
\n
V. - La commission des sanctions peut rendre publique sa décision dans les publications, journaux ou supports qu'elle désigne. Les frais sont supportés par les personnes sanctionnées.
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] }, "BLOC_TEXTUEL": { "CONTENU": "
I. - Le collège examine le rapport d'enquête ou de contrôle établi par les services de l'Autorité des marchés financiers, ou la demande formulée par le gouverneur de la Banque de France, président de la Commission bancaire, ou par le président de l'Autorité de contrôle des assurances et des mutuelles.
\n
S'il décide l'ouverture d'une procédure de sanction, il notifie les griefs aux personnes concernées. Il transmet la notification des griefs à la commission des sanctions, qui désigne un rapporteur parmi ses membres. La commission des sanctions ne peut être saisie de faits remontant à plus de trois ans s'il n'a été fait pendant ce délai aucun acte tendant à leur recherche, à leur constatation ou à leur sanction.
\n
En cas d'urgence, le collège peut suspendre d'activité les personnes mentionnées aux a et b du II contre lesquelles des procédures de sanction sont engagées.
\n
Si le collège transmet au procureur de la République le rapport mentionné au premier alinéa, le collège peut décider de rendre publique la transmission.
\n
II. - La commission des sanctions peut, après une procédure contradictoire, prononcer une sanction à l'encontre des personnes suivantes :
\n
a) Les personnes mentionnées aux 1° à 8° et 11° à 14° du II de l'article L. 621-9, au titre de tout manquement à leurs obligations professionnelles définies par les lois, règlements et règles professionnelles approuvées par l'Autorité des marchés financiers en vigueur, sous réserve des dispositions de l'article L. 613-21 ;
\n
b) Les personnes physiques placées sous l'autorité ou agissant pour le compte de l'une des personnes mentionnées aux 1° à 8° et 11° à 14° du II de l'article L. 621-9 au titre de tout manquement à leurs obligations professionnelles définies par les lois, règlements et règles professionnelles approuvées par l'Autorité des marchés financiers en vigueur, sous réserve des dispositions de l'article L. 613-21 ;
\n
c) Toute personne qui, sur le territoire français ou à l'étranger, s'est livrée ou a tenté de se livrer à une opération d'initié ou s'est livrée à une manipulation de cours, à la diffusion d'une fausse information ou à tout autre manquement mentionné au premier alinéa du I de l'article L. 621-14, dès lors que ces actes concernent un instrument financier émis par une personne ou une entité faisant appel public à l'épargne ou admis aux négociations sur un marché d'instruments financiers ou pour lequel une demande d'admission aux négociations sur un tel marché a été présentée, dans les conditions déterminées par le règlement général de l'Autorité des marchés financiers ;
\n
d) Toute personne qui, sur le territoire français, s'est livrée ou a tenté de se livrer à une opération d'initié ou s'est livrée à une manipulation de cours, à la diffusion d'une fausse information ou à tout autre manquement mentionné au dernier alinéa du I de l'article L. 621-14, dès lors que ces actes concernent un instrument financier admis aux négociations sur un marché réglementé d'un autre Etat membre de la Communauté européenne ou partie à l'accord sur l'Espace économique européen ou pour lequel une demande d'admission aux négociations sur un tel marché a été présentée.
\n
III. - Les sanctions applicables sont :
\n
a) Pour les personnes mentionnées aux 1° à 8°, 11° et 12° du II de l'article L. 621-9, l'avertissement, le blâme, l'interdiction à titre temporaire ou définitif de l'exercice de tout ou partie des services fournis ; la commission des sanctions peut prononcer soit à la place, soit en sus de ces sanctions une sanction pécuniaire dont le montant ne peut être supérieur à 1,5 million d'euros ou au décuple du montant des profits éventuellement réalisés ; les sommes sont versées au fonds de garantie auquel est affiliée la personne sanctionnée ou, à défaut, au Trésor public ;
\n
b) Pour les personnes physiques placées sous l'autorité ou agissant pour le compte de l'une des personnes mentionnées aux 1° à 8°, 11° et 12° du II de l'article L. 621-9, et l'avertissement, le blâme, le retrait temporaire ou définitif de la carte professionnelle, l'interdiction à titre temporaire ou définitif de l'exercice de tout ou partie des activités ; la commission des sanctions peut prononcer soit à la place, soit en sus de ces sanctions une sanction pécuniaire dont le montant ne peut être supérieur à 1,5 million d'euros ou au décuple du montant des profits éventuellement réalisés en cas de pratiques mentionnées aux c et d du II ou à 300 000 euros ou au quintuple des profits éventuellement réalisés dans les autres cas ; les sommes sont versées au fonds de garantie auquel est affiliée la personne morale sous l'autorité ou pour le compte de qui agit la personne sanctionnée ou, à défaut, au Trésor public ;
\n
c) Pour les personnes autres que l'une des personnes mentionnées au II de l'article L. 621-9, auteurs des faits mentionnés aux c et d du II, une sanction pécuniaire dont le montant ne peut être supérieur à 1,5 million d'euros ou au décuple du montant des profits éventuellement réalisés ; les sommes sont versées au Trésor public.
\n
Le montant de la sanction doit être fixé en fonction de la gravité des manquements commis et en relation avec les avantages ou les profits éventuellement tirés de ces manquements.
\n
IV. - La commission des sanctions statue par décision motivée, hors la présence du rapporteur. Aucune sanction ne peut être prononcée sans que la personne concernée ou son représentant ait été entendu ou, à défaut, dûment appelé.
\n
V. - La commission des sanctions peut rendre publique sa décision dans les publications, journaux ou supports qu'elle désigne. Les frais sont supportés par les personnes sanctionnées.
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] }, "BLOC_TEXTUEL": { "CONTENU": "
I. - Le collège examine le rapport d'enquête ou de contrôle établi par les services de l'Autorité des marchés financiers, ou la demande formulée par le gouverneur de la Banque de France, président de la Commission bancaire, ou par le président de l'Autorité de contrôle des assurances et des mutuelles.
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S'il décide l'ouverture d'une procédure de sanction, il notifie les griefs aux personnes concernées. Il transmet la notification des griefs à la commission des sanctions, qui désigne un rapporteur parmi ses membres. La commission des sanctions ne peut être saisie de faits remontant à plus de trois ans s'il n'a été fait pendant ce délai aucun acte tendant à leur recherche, à leur constatation ou à leur sanction.
\n
En cas d'urgence, le collège peut suspendre d'activité les personnes mentionnées aux a et b du II contre lesquelles des procédures de sanction sont engagées.
\n
Si le collège transmet au procureur de la République le rapport mentionné au premier alinéa, le collège peut décider de rendre publique la transmission.
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II. - La commission des sanctions peut, après une procédure contradictoire, prononcer une sanction à l'encontre des personnes suivantes :
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a) Les personnes mentionnées aux 1° à 8° et 11° à 15° du II de l'article L. 621-9, au titre de tout manquement à leurs obligations professionnelles définies par les lois, règlements et règles professionnelles approuvées par l'Autorité des marchés financiers en vigueur, sous réserve des dispositions de l'article L. 613-21 ;
\n
b) Les personnes physiques placées sous l'autorité ou agissant pour le compte de l'une des personnes mentionnées aux 1° à 8° et 11° à 15° du II de l'article L. 621-9 au titre de tout manquement à leurs obligations professionnelles définies par les lois, règlements et règles professionnelles approuvées par l'Autorité des marchés financiers en vigueur, sous réserve des dispositions de l'article L. 613-21 ;
\n
c) Toute personne qui, sur le territoire français ou à l'étranger, s'est livrée ou a tenté de se livrer à une opération d'initié ou s'est livrée à une manipulation de cours, à la diffusion d'une fausse information ou à tout autre manquement mentionné au premier alinéa du I de l'article L. 621-14, dès lors que ces actes concernent un instrument financier émis par une personne ou une entité faisant appel public à l'épargne ou admis aux négociations sur un marché d'instruments financiers ou pour lequel une demande d'admission aux négociations sur un tel marché a été présentée, dans les conditions déterminées par le règlement général de l'Autorité des marchés financiers ;
\n
d) Toute personne qui, sur le territoire français, s'est livrée ou a tenté de se livrer à une opération d'initié ou s'est livrée à une manipulation de cours, à la diffusion d'une fausse information ou à tout autre manquement mentionné au dernier alinéa du I de l'article L. 621-14, dès lors que ces actes concernent un instrument financier admis aux négociations sur un marché réglementé d'un autre Etat membre de la Communauté européenne ou partie à l'accord sur l'Espace économique européen ou pour lequel une demande d'admission aux négociations sur un tel marché a été présentée.
\n
III. - Les sanctions applicables sont :
\n
a) Pour les personnes mentionnées aux 1° à 8°, 11°, 12° et 15° du II de l'article L. 621-9, l'avertissement, le blâme, l'interdiction à titre temporaire ou définitif de l'exercice de tout ou partie des services fournis ; la commission des sanctions peut prononcer soit à la place, soit en sus de ces sanctions une sanction pécuniaire dont le montant ne peut être supérieur à 1,5 million d'euros ou au décuple du montant des profits éventuellement réalisés ; les sommes sont versées au fonds de garantie auquel est affiliée la personne sanctionnée ou, à défaut, au Trésor public ;
\n
b) Pour les personnes physiques placées sous l'autorité ou agissant pour le compte de l'une des personnes mentionnées aux 1° à 8°, 11°, 12° et 15° du II de l'article L. 621-9, et l'avertissement, le blâme, le retrait temporaire ou définitif de la carte professionnelle, l'interdiction à titre temporaire ou définitif de l'exercice de tout ou partie des activités ; la commission des sanctions peut prononcer soit à la place, soit en sus de ces sanctions une sanction pécuniaire dont le montant ne peut être supérieur à 1,5 million d'euros ou au décuple du montant des profits éventuellement réalisés en cas de pratiques mentionnées aux c et d du II ou à 300 000 euros ou au quintuple des profits éventuellement réalisés dans les autres cas ; les sommes sont versées au fonds de garantie auquel est affiliée la personne morale sous l'autorité ou pour le compte de qui agit la personne sanctionnée ou, à défaut, au Trésor public ;
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c) Pour les personnes autres que l'une des personnes mentionnées au II de l'article L. 621-9, auteurs des faits mentionnés aux c et d du II, une sanction pécuniaire dont le montant ne peut être supérieur à 1,5 million d'euros ou au décuple du montant des profits éventuellement réalisés ; les sommes sont versées au Trésor public.
\n
Le montant de la sanction doit être fixé en fonction de la gravité des manquements commis et en relation avec les avantages ou les profits éventuellement tirés de ces manquements.
\n
IV. - La commission des sanctions statue par décision motivée, hors la présence du rapporteur. Aucune sanction ne peut être prononcée sans que la personne concernée ou son représentant ait été entendu ou, à défaut, dûment appelé.
\n
V. - La commission des sanctions peut rendre publique sa décision dans les publications, journaux ou supports qu'elle désigne, à moins que cette publication ne risque de perturber gravement les marchés financiers ou de causer un préjudice disproportionné aux parties en cause. Les frais sont supportés par les personnes sanctionnées.
" } }, "LEGIARTI000006660400": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L621-17", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2003-08-02", "DATE_DEBUT": "2001-01-01" } }, "META_COMMUN": { "ID": "LEGIARTI000006660400", "URL": "article/LEGI/ARTI/00/00/06/66/04/LEGIARTI000006660400.xml", "NATURE": "Article", "ORIGINE": "LEGI", "ANCIEN_ID": "AELXXXXXXXX621L017AXXXAA" } }, "LIENS": { "LIEN": [ { "@id": "LEGIARTI000006778378", "@num": "12-2", "#text": "Ordonnance n°67-833 du 28 septembre 1967 - art. 12-2 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000698676", "@numtexte": "67-833", "@typelien": "CONCORDE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "1967-09-28" }, { "@id": "LEGITEXT000005630278", "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@nortexte": "ECOX0000098R", "@numtexte": "2000-1223", "@typelien": "CODIFICATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2000-12-14" }, { "@id": "LEGIARTI000029010989", "@num": "35", "#text": "Ordonnance n°2014-559\n du 30 mai 2014 - art. 35 (VD)", "@sens": "cible", "@cidtexte": "JORFTEXT000029008408", "@nortexte": "FCPX1406454R", "@numtexte": "2014-559", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2014-05-30" }, { "@id": "LEGIARTI000038612305", "@num": "L341-17", "#text": "Code monétaire et financier - art. 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L746-5 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050370036", "@num": "L783-9", "#text": "Code monétaire et financier - art. L783-9 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050370023", "@num": "L784-9", "#text": "Code monétaire et financier - art. L784-9 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000045237135", "@num": "L785-8", "#text": "Code monétaire et financier - art. L785-8 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000006184928", "@fin": "2003-08-02", "#text": "Sous-section 4 : Injonctions et sanctions administratives", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006170679", "@fin": "2003-08-02", "#text": "Section 4 : Pouvoirs", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006154722", "@fin": "2003-08-02", "#text": "Chapitre Ier : Commission des opérations de bourse", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006140165", "@fin": "2003-08-02", "#text": "Titre II : Les autorités des marchés financiers", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006124085", "@fin": "2999-01-01", "#text": "Livre VI : Les institutions en matière bancaire et financière", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006101336", "@fin": "2999-01-01", "#text": "Partie législative", "@debut": "2001-01-01" } ] }, "@cid": "LEGITEXT000006072026", "@nature": "CODE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Code monétaire et financier", "@debut": "2001-01-01", "@id_txt": "LEGITEXT000006072026", "@c_titre_court": "Code monétaire et financier" } ], "@date_publi": "2999-01-01", "@date_signature": "2999-01-01" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006660400", "@fin": "2003-08-02", "@num": "L621-17", "@etat": "MODIFIE", "@debut": "2001-01-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006660401", "@fin": "2005-05-07", "@num": "L621-17", "@etat": "MODIFIE", "@debut": "2003-08-02", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006660402", "@fin": "2014-10-01", "@num": "L621-17", "@etat": "MODIFIE", "@debut": "2005-05-07", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000029025704", "@fin": "2016-12-11", "@num": "L621-17", "@etat": "MODIFIE", "@debut": "2014-10-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000033612125", "@fin": "2021-12-24", "@num": "L621-17", "@etat": "MODIFIE", "@debut": "2016-12-11", "@origine": "LEGI" } }, { "@etat": "ABROGE_DIFF", "LIEN_ART": { "@id": "LEGIARTI000044564406", "@fin": "2024-12-30", "@num": "L621-17", "@etat": "ABROGE_DIFF", "@debut": "2021-12-24", "@origine": "LEGI" } }, { "@etat": "VIGUEUR_DIFF", "LIEN_ART": { "@id": "LEGIARTI000050370703", "@fin": "2999-01-01", "@num": "L621-17", "@etat": "VIGUEUR_DIFF", "@debut": "2024-12-30", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "
Lorsqu'une pratique contraire aux dispositions législatives ou réglementaires est de nature à porter atteinte aux droits des épargnants, le président de la commission peut demander en justice qu'il soit ordonné à la personne qui en est responsable de se conformer à ces dispositions, de mettre fin à l'irrégularité ou d'en supprimer les effets.
\n
La demande est portée devant le président du tribunal de grande instance de Paris qui statue en la forme des référés et dont la décision est exécutoire par provision. Le président du tribunal est compétent pour connaître des exceptions d'illégalité. Il peut prendre, même d'office, toute mesure conservatoire et prononcer pour l'exécution de son ordonnance une astreinte versée au Trésor public.
\n
Lorsque la pratique relevée est passible de sanctions pénales, la commission informe le procureur de la République de la mise en oeuvre de la procédure devant le président du tribunal de grande instance de Paris.
\n
En cas de poursuites pénales, l'astreinte, si elle a été prononcée, n'est liquidée qu'après que la décision sur l'action publique est devenue définitive.
" } }, "LEGIARTI000006660401": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L621-17", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2005-05-07", "DATE_DEBUT": "2003-08-02" } }, "META_COMMUN": { "ID": "LEGIARTI000006660401", "URL": "article/LEGI/ARTI/00/00/06/66/04/LEGIARTI000006660401.xml", "NATURE": "Article", "ORIGINE": "LEGI", "ANCIEN_ID": "AELXXXXXXXX621L017AXXXAB" } }, "LIENS": { "LIEN": [ { "@id": "LEGIARTI000006778378", "@num": "12-2", "#text": "Ordonnance n°67-833 du 28 septembre 1967 - art. 12-2 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000698676", "@numtexte": "67-833", "@typelien": "CONCORDE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "1967-09-28" }, { "@id": "LEGITEXT000005630278", "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@nortexte": "ECOX0000098R", "@numtexte": "2000-1223", "@typelien": "CODIFICATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2000-12-14" }, { "@id": "LEGIARTI000006712990", "@num": "1", "#text": "Loi n°2003-706 du 1 août 2003 - art. 1 () JORF 2 août 2003", "@sens": "source", "@cidtexte": "JORFTEXT000000428977", "@nortexte": "ECOX0200186L", "@numtexte": "2003-706", "@typelien": "MODIFICATION", "@naturetexte": "LOI", "@datesignatexte": "2003-08-01" }, { "@id": "LEGIARTI000006713079", "@num": "14", "#text": "Loi n°2003-706 du 1 août 2003 - art. 14 () JORF 2 août 2003", "@sens": "source", "@cidtexte": "JORFTEXT000000428977", "@nortexte": "ECOX0200186L", "@numtexte": "2003-706", "@typelien": "MODIFICATION", "@naturetexte": "LOI", "@datesignatexte": "2003-08-01" }, { "@id": "LEGIARTI000006713523", "@num": "56", "#text": "Loi n°2003-706 du 1 août 2003 - art. 56 () JORF 2 août 2003", "@sens": "source", "@cidtexte": "JORFTEXT000000428977", "@nortexte": "ECOX0200186L", "@numtexte": "2003-706", "@typelien": "MODIFICATION", "@naturetexte": "LOI", "@datesignatexte": "2003-08-01" }, { "@id": "LEGIARTI000029010989", "@num": "35", "#text": "Ordonnance n°2014-559\n du 30 mai 2014 - art. 35 (VD)", "@sens": "cible", "@cidtexte": "JORFTEXT000029008408", "@nortexte": "FCPX1406454R", "@numtexte": "2014-559", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2014-05-30" }, { "@id": "LEGIARTI000038612305", "@num": "L341-17", "#text": "Code monétaire et financier - art. L341-17 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006658063", "@num": "L541-1", "#text": "Code monétaire et financier - art. L541-1 (M)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050370739", "@num": "L621-14-1", "#text": "Code monétaire et financier - art. L621-14-1 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006660375", "@num": "L621-15", "#text": "Code monétaire et financier - art. L621-15 (M)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000044193296", "@num": "L621-2", "#text": "Code monétaire et financier - art. L621-2 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000044991625", "@num": "L746-5", "#text": "Code monétaire et financier - art. L746-5 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050370036", "@num": "L783-9", "#text": "Code monétaire et financier - art. L783-9 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050370023", "@num": "L784-9", "#text": "Code monétaire et financier - art. L784-9 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000045237135", "@num": "L785-8", "#text": "Code monétaire et financier - art. L785-8 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000006184940", "@fin": "2005-05-07", "#text": "Sous-section 4 bis : Sanctions", "@debut": "2003-08-02" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006170689", "@fin": "2999-01-01", "#text": "Section 4 : Pouvoirs", "@debut": "2003-08-02" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006154725", "@fin": "2999-01-01", "#text": "Chapitre unique : L'Autorité des marchés financiers", "@debut": "2003-08-02" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006140166", "@fin": "2999-01-01", "#text": "Titre II : L'Autorité des marchés financiers", "@debut": "2003-08-02" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006124085", "@fin": "2999-01-01", "#text": "Livre VI : Les institutions en matière bancaire et financière", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006101336", "@fin": "2999-01-01", "#text": "Partie législative", "@debut": "2001-01-01" } ] }, "@cid": "LEGITEXT000006072026", "@nature": "CODE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Code monétaire et financier", "@debut": "2001-01-01", "@id_txt": "LEGITEXT000006072026", "@c_titre_court": "Code monétaire et financier" } ], "@date_publi": "2999-01-01", "@date_signature": "2999-01-01" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006660400", "@fin": "2003-08-02", "@num": "L621-17", "@etat": "MODIFIE", "@debut": "2001-01-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006660401", "@fin": "2005-05-07", "@num": "L621-17", "@etat": "MODIFIE", "@debut": "2003-08-02", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006660402", "@fin": "2014-10-01", "@num": "L621-17", "@etat": "MODIFIE", "@debut": "2005-05-07", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000029025704", "@fin": "2016-12-11", "@num": "L621-17", "@etat": "MODIFIE", "@debut": "2014-10-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000033612125", "@fin": "2021-12-24", "@num": "L621-17", "@etat": "MODIFIE", "@debut": "2016-12-11", "@origine": "LEGI" } }, { "@etat": "ABROGE_DIFF", "LIEN_ART": { "@id": "LEGIARTI000044564406", "@fin": "2024-12-30", "@num": "L621-17", "@etat": "ABROGE_DIFF", "@debut": "2021-12-24", "@origine": "LEGI" } }, { "@etat": "VIGUEUR_DIFF", "LIEN_ART": { "@id": "LEGIARTI000050370703", "@fin": "2999-01-01", "@num": "L621-17", "@etat": "VIGUEUR_DIFF", "@debut": "2024-12-30", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "
Tout manquement par les conseillers en investissements financiers définis à l'article L. 541-1 aux lois, règlements et obligations professionnelles les concernant est passible des sanctions prononcées par la commission des sanctions selon les modalités prévues aux I, a et b du III, IV et V de l'article L. 621-15.
\n
Le montant de la sanction doit être fixé en fonction de la gravité des manquements commis et en relation avec les avantages ou les profits éventuellement tirés de ces manquements.
" } }, "LEGIARTI000006660402": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L621-17", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2014-10-01", "DATE_DEBUT": "2005-05-07" } }, "META_COMMUN": { "ID": "LEGIARTI000006660402", "URL": "article/LEGI/ARTI/00/00/06/66/04/LEGIARTI000006660402.xml", "NATURE": "Article", "ORIGINE": "LEGI", "ANCIEN_ID": "AELXXXXXXXX621L017AXXXAC" } }, "LIENS": { "LIEN": [ { "@id": "LEGIARTI000006778378", "@num": "12-2", "#text": "Ordonnance n°67-833 du 28 septembre 1967 - art. 12-2 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000698676", "@numtexte": "67-833", "@typelien": "CONCORDE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "1967-09-28" }, { "@id": "LEGITEXT000005630278", "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@nortexte": "ECOX0000098R", "@numtexte": "2000-1223", "@typelien": "CODIFICATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2000-12-14" }, { "@id": "LEGIARTI000006718341", "@num": "82", "#text": "Ordonnance n°2005-429 du 6 mai 2005 - art. 82 () JORF 7 mai 2005", "@sens": "source", "@cidtexte": "JORFTEXT000000424044", "@nortexte": "ECOX0400249R", "@numtexte": "2005-429", "@typelien": "MODIFICATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2005-05-06" }, { "@id": "LEGIARTI000029010989", "@num": "35", "#text": "Ordonnance n°2014-559\n du 30 mai 2014 - art. 35 (VD)", "@sens": "cible", "@cidtexte": "JORFTEXT000029008408", "@nortexte": "FCPX1406454R", "@numtexte": "2014-559", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2014-05-30" }, { "@id": "LEGIARTI000038612305", "@num": "L341-17", "#text": "Code monétaire et financier - art. 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L621-15 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000044193296", "@num": "L621-2", "#text": "Code monétaire et financier - art. L621-2 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000044991625", "@num": "L746-5", "#text": "Code monétaire et financier - art. L746-5 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050370036", "@num": "L783-9", "#text": "Code monétaire et financier - art. L783-9 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050370023", "@num": "L784-9", "#text": "Code monétaire et financier - art. L784-9 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000045237135", "@num": "L785-8", "#text": "Code monétaire et financier - art. L785-8 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000006184941", "@fin": "2999-01-01", "#text": "Sous-section 5 : Sanctions", "@debut": "2005-05-07" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006170689", "@fin": "2999-01-01", "#text": "Section 4 : Pouvoirs", "@debut": "2003-08-02" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006154725", "@fin": "2999-01-01", "#text": "Chapitre unique : L'Autorité des marchés financiers", "@debut": "2003-08-02" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006140166", "@fin": "2999-01-01", "#text": "Titre II : L'Autorité des marchés financiers", "@debut": "2003-08-02" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006124085", "@fin": "2999-01-01", "#text": "Livre VI : Les institutions en matière bancaire et financière", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006101336", "@fin": "2999-01-01", "#text": "Partie législative", "@debut": "2001-01-01" } ] }, "@cid": "LEGITEXT000006072026", "@nature": "CODE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Code monétaire et financier", "@debut": "2001-01-01", "@id_txt": "LEGITEXT000006072026", "@c_titre_court": "Code monétaire et financier" } ], "@date_publi": "2999-01-01", "@date_signature": "2999-01-01" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006660400", "@fin": "2003-08-02", "@num": "L621-17", "@etat": "MODIFIE", "@debut": "2001-01-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006660401", "@fin": "2005-05-07", "@num": "L621-17", "@etat": "MODIFIE", "@debut": "2003-08-02", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006660402", "@fin": "2014-10-01", "@num": "L621-17", "@etat": "MODIFIE", "@debut": "2005-05-07", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000029025704", "@fin": "2016-12-11", "@num": "L621-17", "@etat": "MODIFIE", "@debut": "2014-10-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000033612125", "@fin": "2021-12-24", "@num": "L621-17", "@etat": "MODIFIE", "@debut": "2016-12-11", "@origine": "LEGI" } }, { "@etat": "ABROGE_DIFF", "LIEN_ART": { "@id": "LEGIARTI000044564406", "@fin": "2024-12-30", "@num": "L621-17", "@etat": "ABROGE_DIFF", "@debut": "2021-12-24", "@origine": "LEGI" } }, { "@etat": "VIGUEUR_DIFF", "LIEN_ART": { "@id": "LEGIARTI000050370703", "@fin": "2999-01-01", "@num": "L621-17", "@etat": "VIGUEUR_DIFF", "@debut": "2024-12-30", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "
Tout manquement par les conseillers en investissements financiers définis à l'article L. 541-1 aux lois, règlements et obligations professionnelles les concernant est passible des sanctions prononcées par la commission des sanctions selon les modalités prévues aux I, a et b du III, IV et V de l'article L. 621-15.
\n
Le montant de la sanction doit être fixé en fonction de la gravité des manquements commis et en relation avec les avantages ou les profits éventuellement tirés de ces manquements.
" } }, "LEGIARTI000017735361": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L621-15", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2008-08-06", "DATE_DEBUT": "2007-12-19" } }, "META_COMMUN": { "ID": "LEGIARTI000017735361", "URL": "article/LEGI/ARTI/00/00/17/73/53/LEGIARTI000017735361.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "LEGIARTI000006738834", "@num": "17", "#text": "Décret n°96-880 du 8 octobre 1996 - art. 17 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000378759", "@nortexte": "ECOT9620035D", "@numtexte": "96-880", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "1996-10-08" }, { "@id": "LEGITEXT000005630278", "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@nortexte": "ECOX0000098R", "@numtexte": "2000-1223", "@typelien": "CODIFICATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2000-12-14" }, { "@id": "LEGIARTI000006209248", "@num": "2", "#text": "Décret n°2002-371 du 14 mars 2002 - art. 2 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000771486", "@nortexte": "ECOT0220010D", "@numtexte": "2002-371", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2002-03-14" }, { "@id": "LEGIARTI000006209249", "@num": "3", "#text": "Décret n°2002-371 du 14 mars 2002 - art. 3 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000771486", "@nortexte": "ECOT0220010D", "@numtexte": "2002-371", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2002-03-14" }, { "@id": "LEGIARTI000022336015", "@num": "49", "#text": "Loi n°2003-706 du 1 août 2003 - art. 49 (VD)", "@sens": "cible", "@cidtexte": "JORFTEXT000000428977", "@nortexte": "ECOX0200186L", "@numtexte": "2003-706", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "2003-08-01" }, { "@id": "LEGIARTI000006744394", "@num": "10", "#text": "Décret n°2003-1109 du 21 novembre 2003 - art. 10 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000797295", "@nortexte": "ECOT0320019D", "@numtexte": "2003-1109", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2003-11-21" }, { "@id": "LEGIARTI000006234776", "@num": "2", "#text": "Décret n°2004-1019 du 28 septembre 2004 - art. 2 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000805047", "@nortexte": "ECOT0420028D", "@numtexte": "2004-1019", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234804", "@num": "8", "#text": "Décret n°2004-1023 du 29 septembre 2004 - art. 8 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000802392", "@nortexte": "ECOT0420033D", "@numtexte": "2004-1023", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-29" }, { "@id": "LEGIARTI000022440626", "@num": "143-5", "#text": "Arrêté du 12 octobre 2004 - art. 143-5 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000254713", "@nortexte": "ECOT0420059A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-10-12" }, { "@id": "LEGIARTI000023229228", "@num": "144-2-1", "#text": "Arrêté du 12 octobre 2004 - art. 144-2-1 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000254713", "@nortexte": "ECOT0420059A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-10-12" }, { "@id": "LEGIARTI000022440611", "@num": "144-4", "#text": "Arrêté du 12 octobre 2004 - art. 144-4 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000254713", "@nortexte": "ECOT0420059A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-10-12" }, { "@id": "LEGIARTI000036892760", "@num": "312-1", "#text": "Arrêté du 12 novembre 2004 - art. 312-1 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000025920375", "@num": "313-1", "#text": "Arrêté du 12 novembre 2004 - art. 313-1 (M)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036892936", "@num": "313-10", "#text": "Arrêté du 12 novembre 2004 - art. 313-10 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000028421655", "@num": "313-2", "#text": "Arrêté du 12 novembre 2004 - art. 313-2 (M)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036893028", "@num": "313-27", "#text": "Arrêté du 12 novembre 2004 - art. 313-27 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036892951", "@num": "313-6", "#text": "Arrêté du 12 novembre 2004 - art. 313-6 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000025932739", "@num": "313-74", "#text": "Arrêté du 12 novembre 2004 - art. 313-74 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000025932747", "@num": "313-75", "#text": "Arrêté du 12 novembre 2004 - art. 313-75 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036893926", "@num": "318-18", "#text": "Arrêté du 12 novembre 2004 - art. 318-18 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036893986", "@num": "318-4", "#text": "Arrêté du 12 novembre 2004 - art. 318-4 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036894433", "@num": "318-50", "#text": "Arrêté du 12 novembre 2004 - art. 318-50 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036893977", "@num": "318-6", "#text": "Arrêté du 12 novembre 2004 - art. 318-6 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000037151836", "@num": "321-31", "#text": "Arrêté du 12 novembre 2004 - art. 321-31 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036895424", "@num": "512-12", "#text": "Arrêté du 12 novembre 2004 - art. 512-12 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000028050594", "@num": "541-10", "#text": "Arrêté du 12 novembre 2004 - art. 541-10 (VD)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000037536885", "@num": "560-4 bis", "#text": "Arrêté du 12 novembre 2004 - art. 560-4 bis (T)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000029082416", "@num": "611-1", "#text": "Arrêté du 12 novembre 2004 - art. 611-1 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000006533068", "@num": "2", "#text": "Ordonnance n°2006-931 du 28 juillet 2006 - art. 2 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000790613", "@nortexte": "ECOX0600107R", "@numtexte": "2006-931", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2006-07-28" }, { "@id": "LEGIARTI000017726068", "@num": "11", "#text": "LOI n°2007-1774 du 17 décembre 2007 - art. 11", "@sens": "cible", "@cidtexte": "JORFTEXT000017661897", "@nortexte": "ECEX0763468L", "@numtexte": "2007-1774", "@typelien": "MODIFIE", "@naturetexte": "LOI", "@datesignatexte": "2007-12-17" }, { "@id": "LEGIARTI000019285267", "@num": "160", "#text": "LOI n°2008-776\n du 4 août 2008 - art. 160", "@sens": "cible", "@cidtexte": "JORFTEXT000019283050", "@nortexte": "ECEX0808477L", "@numtexte": "2008-776", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "2008-08-04" }, { "@id": "LEGIARTI000020315589", "@num": "1", "#text": "Ordonnance n°2009-233\n du 26 février 2009 - art. 1 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000020314915", "@nortexte": "ECET0822074R", "@numtexte": "2009-233", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2009-02-26" }, { "@id": "LEGIARTI000021721323", "@num": "19", "#text": "Ordonnance n°2010-76 du 21 janvier 2010 - art. 19 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000021719945", "@nortexte": "ECEX0929065R", "@numtexte": "2010-76", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2010-01-21" }, { "@id": "LEGIARTI000031561587", "@num": "6", "#text": "ORDONNANCE n° 2015-1576 du 3 décembre 2015 - art. 6 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000031560621", "@nortexte": "FCPT1519260R", "@numtexte": "2015-1576", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2015-12-03" }, { "@id": "LEGIARTI000034695027", "@num": "1", "#text": "Décret n°2017-865 du 9 mai 2017 - art. 1", "@sens": "cible", "@cidtexte": "JORFTEXT000034633181", "@nortexte": "ECFT1703547D", "@numtexte": "2017-865", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2017-05-09" }, { "@id": "LEGIARTI000035014371", "@num": "12", "#text": "Ordonnance n°2017-1107 du 22 juin 2017 - art. 12", "@sens": "cible", "@cidtexte": "JORFTEXT000035013490", "@nortexte": "ECOT1706653R", "@numtexte": "2017-1107", "@typelien": "CONCORDE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2017-06-22" }, { "@id": "LEGIARTI000037147775", "#text": "Arrêté du 14 juin 2018 - art.", "@sens": "cible", "@cidtexte": "JORFTEXT000037146528", "@nortexte": "ECOT1816563A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2018-06-14" }, { "@id": "LEGIARTI000039412880", "@num": "D341-2", "#text": "Code monétaire et financier - art. D341-2 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006641266", "@num": "D452-2", "#text": "Code monétaire et financier - art. D452-2 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035531095", "@num": "D541-8", "#text": "Code monétaire et financier - art. D541-8 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035531080", "@num": "D547-2", "#text": "Code monétaire et financier - art. D547-2 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000031643654", "@num": "L211-17-1", "#text": "Code monétaire et financier - art. L211-17-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000031094465", "@num": "L322-8", "#text": "Code monétaire et financier - art. L322-8 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000038612305", "@num": "L341-17", "#text": "Code monétaire et financier - art. L341-17 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050487960", "@num": "L465-3-5", "#text": "Code monétaire et financier - art. 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I.-Le collège examine le rapport d'enquête ou de contrôle établi par les services de l'Autorité des marchés financiers, ou la demande formulée par le gouverneur de la Banque de France, président de la Commission bancaire, ou par le président de l'Autorité de contrôle des assurances et des mutuelles.

S'il décide l'ouverture d'une procédure de sanction, il notifie les griefs aux personnes concernées. Il transmet la notification des griefs à la commission des sanctions, qui désigne un rapporteur parmi ses membres. La commission des sanctions ne peut être saisie de faits remontant à plus de trois ans s'il n'a été fait pendant ce délai aucun acte tendant à leur recherche, à leur constatation ou à leur sanction.

En cas d'urgence, le collège peut suspendre d'activité les personnes mentionnées aux a et b du II contre lesquelles des procédures de sanction sont engagées.

Si le collège transmet au procureur de la République le rapport mentionné au premier alinéa, le collège peut décider de rendre publique la transmission.

II.-La commission des sanctions peut, après une procédure contradictoire, prononcer une sanction à l'encontre des personnes suivantes :

a) Les personnes mentionnées aux 1° à 8° et 11° à 15° du II de l'article L. 621-9, au titre de tout manquement à leurs obligations professionnelles définies par les lois, règlements et règles professionnelles approuvées par l'Autorité des marchés financiers en vigueur, sous réserve des dispositions de l'article L. 613-21 ;

b) Les personnes physiques placées sous l'autorité ou agissant pour le compte de l'une des personnes mentionnées aux 1° à 8° et 11° à 15° du II de l'article L. 621-9 au titre de tout manquement à leurs obligations professionnelles définies par les lois, règlements et règles professionnelles approuvées par l'Autorité des marchés financiers en vigueur, sous réserve des dispositions de l'article L. 613-21 ;

c) Toute personne qui, sur le territoire français ou à l'étranger, s'est livrée ou a tenté de se livrer à une opération d'initié ou s'est livrée à une manipulation de cours, à la diffusion d'une fausse information ou à tout autre manquement mentionné au premier alinéa du I de l'article L. 621-14, dès lors que ces actes concernent un instrument financier émis par une personne ou une entité faisant appel public à l'épargne ou admis aux négociations sur un marché d'instruments financiers ou pour lequel une demande d'admission aux négociations sur un tel marché a été présentée, dans les conditions déterminées par le règlement général de l'Autorité des marchés financiers ;

d) Toute personne qui, sur le territoire français, s'est livrée ou a tenté de se livrer à une opération d'initié ou s'est livrée à une manipulation de cours, à la diffusion d'une fausse information ou à tout autre manquement mentionné au dernier alinéa du I de l'article L. 621-14, dès lors que ces actes concernent un instrument financier admis aux négociations sur un marché réglementé d'un autre Etat membre de la Communauté européenne ou partie à l'accord sur l'Espace économique européen ou pour lequel une demande d'admission aux négociations sur un tel marché a été présentée.

III.-Les sanctions applicables sont :

a) Pour les personnes mentionnées aux 1° à 8°, 11°, 12° et 15° du II de l'article L. 621-9, l'avertissement, le blâme, l'interdiction à titre temporaire ou définitif de l'exercice de tout ou partie des services fournis ; la commission des sanctions peut prononcer soit à la place, soit en sus de ces sanctions une sanction pécuniaire dont le montant ne peut être supérieur à 1,5 million d'euros ou au décuple du montant des profits éventuellement réalisés ; les sommes sont versées au fonds de garantie auquel est affiliée la personne sanctionnée ou, à défaut, au Trésor public ;

b) Pour les personnes physiques placées sous l'autorité ou agissant pour le compte de l'une des personnes mentionnées aux 1° à 8°, 11°, 12° et 15° du II de l'article L. 621-9, l'avertissement, le blâme, le retrait temporaire ou définitif de la carte professionnelle, l'interdiction à titre temporaire ou définitif de l'exercice de tout ou partie des activités ; la commission des sanctions peut prononcer soit à la place, soit en sus de ces sanctions une sanction pécuniaire dont le montant ne peut être supérieur à 1,5 million d'euros ou au décuple du montant des profits éventuellement réalisés en cas de pratiques mentionnées aux c et d du II ou à 300 000 euros ou au quintuple des profits éventuellement réalisés dans les autres cas ; les sommes sont versées au fonds de garantie auquel est affiliée la personne morale sous l'autorité ou pour le compte de qui agit la personne sanctionnée ou, à défaut, au Trésor public ;

c) Pour les personnes autres que l'une des personnes mentionnées au II de l'article L. 621-9, auteurs des faits mentionnés aux c et d du II, une sanction pécuniaire dont le montant ne peut être supérieur à 1,5 million d'euros ou au décuple du montant des profits éventuellement réalisés ; les sommes sont versées au Trésor public.

Le montant de la sanction doit être fixé en fonction de la gravité des manquements commis et en relation avec les avantages ou les profits éventuellement tirés de ces manquements.

III bis.-Dans les conditions fixées par décret en Conseil d'Etat, la récusation d'un membre de la commission des sanctions est prononcée à la demande de la personne mise en cause s'il existe une raison sérieuse de mettre en doute l'impartialité de ce membre.

IV.-La commission des sanctions statue par décision motivée, hors la présence du rapporteur. Aucune sanction ne peut être prononcée sans que la personne concernée ou son représentant ait été entendu ou, à défaut, dûment appelé.

V.-La commission des sanctions peut rendre publique sa décision dans les publications, journaux ou supports qu'elle désigne, à moins que cette publication ne risque de perturber gravement les marchés financiers ou de causer un préjudice disproportionné aux parties en cause. Les frais sont supportés par les personnes sanctionnées.

" } }, "LEGIARTI000019300684": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L621-15", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2009-04-01", "DATE_DEBUT": "2008-08-06" } }, "META_COMMUN": { "ID": "LEGIARTI000019300684", "URL": "article/LEGI/ARTI/00/00/19/30/06/LEGIARTI000019300684.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "NOTA": { "CONTENU": "

Dans sa décision n° 2014-453/454 QPC et 2015-462 QPC du 18 mars 2015 (NOR : CSCX1507201S), le Conseil constitutionnel a déclaré contraires à la Constitution au c et au d du paragraphe II de l'article L. 621-15 dans sa rédaction résultant de la loi n° 2008-776 du 4 août 2008 de modernisation de l'économie, les mots \" s'est livrée ou a tenté de se livrer à une opération d'initié ou \". La déclaration d'inconstitutionnalité prévue par l'article 3 prend effet dans les conditions fixées aux considérants 35 et 36.

" }, "LIENS": { "LIEN": [ { "@id": "LEGIARTI000006738834", "@num": "17", "#text": "Décret n°96-880 du 8 octobre 1996 - art. 17 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000378759", "@nortexte": "ECOT9620035D", "@numtexte": "96-880", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "1996-10-08" }, { "@id": "LEGITEXT000005630278", "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@nortexte": "ECOX0000098R", "@numtexte": "2000-1223", "@typelien": "CODIFICATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2000-12-14" }, { "@id": "LEGIARTI000006209248", "@num": "2", "#text": "Décret n°2002-371 du 14 mars 2002 - art. 2 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000771486", "@nortexte": "ECOT0220010D", "@numtexte": "2002-371", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2002-03-14" }, { "@id": "LEGIARTI000006209249", "@num": "3", "#text": "Décret n°2002-371 du 14 mars 2002 - art. 3 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000771486", "@nortexte": "ECOT0220010D", "@numtexte": "2002-371", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2002-03-14" }, { "@id": "LEGIARTI000022336015", "@num": "49", "#text": "Loi n°2003-706 du 1 août 2003 - art. 49 (VD)", "@sens": "cible", "@cidtexte": "JORFTEXT000000428977", "@nortexte": "ECOX0200186L", "@numtexte": "2003-706", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "2003-08-01" }, { "@id": "LEGIARTI000006744394", "@num": "10", "#text": "Décret n°2003-1109 du 21 novembre 2003 - art. 10 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000797295", "@nortexte": "ECOT0320019D", "@numtexte": "2003-1109", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2003-11-21" }, { "@id": "LEGIARTI000006234776", "@num": "2", "#text": "Décret n°2004-1019 du 28 septembre 2004 - art. 2 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000805047", "@nortexte": "ECOT0420028D", "@numtexte": "2004-1019", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234804", "@num": "8", "#text": "Décret n°2004-1023 du 29 septembre 2004 - art. 8 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000802392", "@nortexte": "ECOT0420033D", "@numtexte": "2004-1023", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-29" }, { "@id": "LEGIARTI000022440626", "@num": "143-5", "#text": "Arrêté du 12 octobre 2004 - art. 143-5 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000254713", "@nortexte": "ECOT0420059A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-10-12" }, { "@id": "LEGIARTI000023229228", "@num": "144-2-1", "#text": "Arrêté du 12 octobre 2004 - art. 144-2-1 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000254713", "@nortexte": "ECOT0420059A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-10-12" }, { "@id": "LEGIARTI000022440611", "@num": "144-4", "#text": "Arrêté du 12 octobre 2004 - art. 144-4 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000254713", "@nortexte": "ECOT0420059A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-10-12" }, { "@id": "LEGIARTI000036892760", "@num": "312-1", "#text": "Arrêté du 12 novembre 2004 - art. 312-1 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000025920375", "@num": "313-1", "#text": "Arrêté du 12 novembre 2004 - art. 313-1 (M)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036892936", "@num": "313-10", "#text": "Arrêté du 12 novembre 2004 - art. 313-10 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000028421655", "@num": "313-2", "#text": "Arrêté du 12 novembre 2004 - art. 313-2 (M)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036893028", "@num": "313-27", "#text": "Arrêté du 12 novembre 2004 - art. 313-27 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036892951", "@num": "313-6", "#text": "Arrêté du 12 novembre 2004 - art. 313-6 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000025932739", "@num": "313-74", "#text": "Arrêté du 12 novembre 2004 - art. 313-74 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000025932747", "@num": "313-75", "#text": "Arrêté du 12 novembre 2004 - art. 313-75 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036893926", "@num": "318-18", "#text": "Arrêté du 12 novembre 2004 - art. 318-18 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036893986", "@num": "318-4", "#text": "Arrêté du 12 novembre 2004 - art. 318-4 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036894433", "@num": "318-50", "#text": "Arrêté du 12 novembre 2004 - art. 318-50 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036893977", "@num": "318-6", "#text": "Arrêté du 12 novembre 2004 - art. 318-6 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000037151836", "@num": "321-31", "#text": "Arrêté du 12 novembre 2004 - art. 321-31 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036895424", "@num": "512-12", "#text": "Arrêté du 12 novembre 2004 - art. 512-12 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000028050594", "@num": "541-10", "#text": "Arrêté du 12 novembre 2004 - art. 541-10 (VD)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000037536885", "@num": "560-4 bis", "#text": "Arrêté du 12 novembre 2004 - art. 560-4 bis (T)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000029082416", "@num": "611-1", "#text": "Arrêté du 12 novembre 2004 - art. 611-1 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000006533068", "@num": "2", "#text": "Ordonnance n°2006-931 du 28 juillet 2006 - art. 2 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000790613", "@nortexte": "ECOX0600107R", "@numtexte": "2006-931", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2006-07-28" }, { "@id": "LEGIARTI000019285267", "@num": "160", "#text": "LOI n°2008-776\n du 4 août 2008 - art. 160", "@sens": "cible", "@cidtexte": "JORFTEXT000019283050", "@nortexte": "ECEX0808477L", "@numtexte": "2008-776", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "2008-08-04" }, { "@id": "LEGIARTI000019285267", "@num": "160", "#text": "LOI n°2008-776\n du 4 août 2008 - art. 160", "@sens": "cible", "@cidtexte": "JORFTEXT000019283050", "@nortexte": "ECEX0808477L", "@numtexte": "2008-776", "@typelien": "MODIFIE", "@naturetexte": "LOI", "@datesignatexte": "2008-08-04" }, { "@id": "LEGIARTI000019285269", "@num": "161", "#text": "LOI n°2008-776\n du 4 août 2008 - art. 161", "@sens": "cible", "@cidtexte": "JORFTEXT000019283050", "@nortexte": "ECEX0808477L", "@numtexte": "2008-776", "@typelien": "MODIFIE", "@naturetexte": "LOI", "@datesignatexte": "2008-08-04" }, { "@id": "LEGIARTI000020315589", "@num": "1", "#text": "Ordonnance n°2009-233\n du 26 février 2009 - art. 1 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000020314915", "@nortexte": "ECET0822074R", "@numtexte": "2009-233", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2009-02-26" }, { "@id": "LEGIARTI000021721323", "@num": "19", "#text": "Ordonnance n°2010-76 du 21 janvier 2010 - art. 19 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000021719945", "@nortexte": "ECEX0929065R", "@numtexte": "2010-76", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2010-01-21" }, { "@id": "LEGIARTI000031561587", "@num": "6", "#text": "ORDONNANCE n° 2015-1576 du 3 décembre 2015 - art. 6 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000031560621", "@nortexte": "FCPT1519260R", "@numtexte": "2015-1576", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2015-12-03" }, { "@id": "LEGIARTI000034695027", "@num": "1", "#text": "Décret n°2017-865 du 9 mai 2017 - art. 1", "@sens": "cible", "@cidtexte": "JORFTEXT000034633181", "@nortexte": "ECFT1703547D", "@numtexte": "2017-865", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2017-05-09" }, { "@id": "LEGIARTI000035014371", "@num": "12", "#text": "Ordonnance n°2017-1107 du 22 juin 2017 - art. 12", "@sens": "cible", "@cidtexte": "JORFTEXT000035013490", "@nortexte": "ECOT1706653R", "@numtexte": "2017-1107", "@typelien": "CONCORDE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2017-06-22" }, { "@id": "LEGIARTI000037147775", "#text": "Arrêté du 14 juin 2018 - art.", "@sens": "cible", "@cidtexte": "JORFTEXT000037146528", "@nortexte": "ECOT1816563A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2018-06-14" }, { "@id": "LEGIARTI000039412880", "@num": "D341-2", "#text": "Code monétaire et financier - art. D341-2 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006641266", "@num": "D452-2", "#text": "Code monétaire et financier - art. D452-2 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035531095", "@num": "D541-8", "#text": "Code monétaire et financier - art. D541-8 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035531080", "@num": "D547-2", "#text": "Code monétaire et financier - art. D547-2 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000031643654", "@num": "L211-17-1", "#text": "Code monétaire et financier - art. L211-17-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000031094465", "@num": "L322-8", "#text": "Code monétaire et financier - art. L322-8 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000038612305", "@num": "L341-17", "#text": "Code monétaire et financier - art. L341-17 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050487960", "@num": "L465-3-5", "#text": "Code monétaire et financier - art. L465-3-5 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032745713", "@num": "L465-3-6", "#text": "Code monétaire et financier - art. L465-3-6 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000027850912", "@num": "L523-2", "#text": "Code monétaire et financier - art. L523-2 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035042889", "@num": "L532-10", "#text": "Code monétaire et financier - art. L532-10 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035042882", "@num": "L532-11", "#text": "Code monétaire et financier - art. L532-11 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043706887", "@num": "L532-6", "#text": "Code monétaire et financier - art. L532-6 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657679", "@num": "L533-1", "#text": "Code monétaire et financier - art. L533-1 (M)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035043151", "@num": "L533-2", "#text": "Code monétaire et financier - art. 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] }, "BLOC_TEXTUEL": { "CONTENU": "

En cas d'urgence, le collège peut suspendre d'activité les personnes mentionnées aux a et b du II contre lesquelles des procédures de sanction sont engagées.

Si le collège transmet au procureur de la République le rapport mentionné au premier alinéa, le collège peut décider de rendre publique la transmission.

II.-La commission des sanctions peut, après une procédure contradictoire, prononcer une sanction à l'encontre des personnes suivantes :

III.-Les sanctions applicables sont :

a) Pour les personnes mentionnées aux 1° à 8°, 11°, 12° et 15° du II de l'article L. 621-9, l'avertissement, le blâme, l'interdiction à titre temporaire ou définitif de l'exercice de tout ou partie des services fournis ; la commission des sanctions peut prononcer soit à la place, soit en sus de ces sanctions une sanction pécuniaire dont le montant ne peut être supérieur à 10 millions d'euros ou au décuple du montant des profits éventuellement réalisés ; les sommes sont versées au fonds de garantie auquel est affiliée la personne sanctionnée ou, à défaut, au Trésor public ;

b) Pour les personnes physiques placées sous l'autorité ou agissant pour le compte de l'une des personnes mentionnées aux 1° à 8°, 11°, 12° et 15° du II de l'article L. 621-9, l'avertissement, le blâme, le retrait temporaire ou définitif de la carte professionnelle, l'interdiction à titre temporaire ou définitif de l'exercice de tout ou partie des activités ; la commission des sanctions peut prononcer soit à la place, soit en sus de ces sanctions une sanction pécuniaire dont le montant ne peut être supérieur à 1, 5 million d'euros ou au décuple du montant des profits éventuellement réalisés en cas de pratiques mentionnées aux c et d du II ou à 300 000 euros ou au quintuple des profits éventuellement réalisés dans les autres cas ; les sommes sont versées au fonds de garantie auquel est affiliée la personne morale sous l'autorité ou pour le compte de qui agit la personne sanctionnée ou, à défaut, au Trésor public ;

c) Pour les personnes autres que l'une des personnes mentionnées au II de l'article L. 621-9, auteurs des faits mentionnés aux c et d du II, une sanction pécuniaire dont le montant ne peut être supérieur à 10 millions d'euros ou au décuple du montant des profits éventuellement réalisés ; les sommes sont versées au Trésor public.

Le montant de la sanction doit être fixé en fonction de la gravité des manquements commis et en relation avec les avantages ou les profits éventuellement tirés de ces manquements.

Le fonds de garantie mentionné aux a et b peut, dans des conditions fixées par son règlement intérieur et dans la limite de 300 000 euros par an, affecter à des actions éducatives dans le domaine financier une partie du produit des sanctions pécuniaires prononcées par la commission des sanctions qu'il perçoit.

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] }, "BLOC_TEXTUEL": { "CONTENU": "

En cas d'urgence, le collège peut suspendre d'activité les personnes mentionnées aux a et b du II contre lesquelles des procédures de sanction sont engagées.

Si le collège transmet au procureur de la République le rapport mentionné au premier alinéa, le collège peut décider de rendre publique la transmission.

II.-La commission des sanctions peut, après une procédure contradictoire, prononcer une sanction à l'encontre des personnes suivantes :

c) Toute personne qui, sur le territoire français ou à l'étranger, s'est livrée ou a tenté de se livrer à une opération d'initié ou s'est livrée à une manipulation de cours, à la diffusion d'une fausse information ou à tout autre manquement mentionné au premier alinéa du I de l'article L. 621-14, dès lors que ces actes concernent un instrument financier admis aux négociations sur un marché réglementé ou sur un système multilatéral de négociation qui se soumet aux dispositions législatives ou réglementaires visant à protéger les investisseurs contre les opérations d'initiés, les manipulations de cours et la diffusion de fausses informations, ou pour lequel une demande d'admission aux négociations sur de tels marchés a été présentée a été présentée, dans les conditions déterminées par le règlement général de l'Autorité des marchés financiers ;

III.-Les sanctions applicables sont :

a) Pour les personnes mentionnées aux 1° à 8°, 11°, 12° et 15° du II de l'article L. 621-9, l'avertissement, le blâme, l'interdiction à titre temporaire ou définitif de l'exercice de tout ou partie des services fournis ; la commission des sanctions peut prononcer soit à la place, soit en sus de ces sanctions une sanction pécuniaire dont le montant ne peut être supérieur à 10 millions d'euros ou au décuple du montant des profits éventuellement réalisés ; les sommes sont versées au fonds de garantie auquel est affiliée la personne sanctionnée ou, à défaut, au Trésor public ;

b) Pour les personnes physiques placées sous l'autorité ou agissant pour le compte de l'une des personnes mentionnées aux 1° à 8°, 11°, 12° et 15° du II de l'article L. 621-9, l'avertissement, le blâme, le retrait temporaire ou définitif de la carte professionnelle, l'interdiction à titre temporaire ou définitif de l'exercice de tout ou partie des activités ; la commission des sanctions peut prononcer soit à la place, soit en sus de ces sanctions une sanction pécuniaire dont le montant ne peut être supérieur à 1, 5 million d'euros ou au décuple du montant des profits éventuellement réalisés en cas de pratiques mentionnées aux c et d du II ou à 300 000 euros ou au quintuple des profits éventuellement réalisés dans les autres cas ; les sommes sont versées au fonds de garantie auquel est affiliée la personne morale sous l'autorité ou pour le compte de qui agit la personne sanctionnée ou, à défaut, au Trésor public ;

c) Pour les personnes autres que l'une des personnes mentionnées au II de l'article L. 621-9, auteurs des faits mentionnés aux c et d du II, une sanction pécuniaire dont le montant ne peut être supérieur à 10 millions d'euros ou au décuple du montant des profits éventuellement réalisés ; les sommes sont versées au Trésor public.

Le montant de la sanction doit être fixé en fonction de la gravité des manquements commis et en relation avec les avantages ou les profits éventuellement tirés de ces manquements.

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art. 3 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000771486", "@nortexte": "ECOT0220010D", "@numtexte": "2002-371", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2002-03-14" }, { "@id": "LEGIARTI000022336015", "@num": "49", "#text": "Loi n°2003-706 du 1 août 2003 - art. 49 (VD)", "@sens": "cible", "@cidtexte": "JORFTEXT000000428977", "@nortexte": "ECOX0200186L", "@numtexte": "2003-706", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "2003-08-01" }, { "@id": "LEGIARTI000006744394", "@num": "10", "#text": "Décret n°2003-1109 du 21 novembre 2003 - art. 10 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000797295", "@nortexte": "ECOT0320019D", "@numtexte": "2003-1109", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2003-11-21" }, { "@id": "LEGIARTI000006234776", "@num": "2", "#text": "Décret n°2004-1019 du 28 septembre 2004 - art. 2 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000805047", "@nortexte": "ECOT0420028D", "@numtexte": "2004-1019", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234804", "@num": "8", "#text": "Décret n°2004-1023 du 29 septembre 2004 - art. 8 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000802392", "@nortexte": "ECOT0420033D", "@numtexte": "2004-1023", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-29" }, { "@id": "LEGIARTI000022440626", "@num": "143-5", "#text": "Arrêté du 12 octobre 2004 - art. 143-5 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000254713", "@nortexte": "ECOT0420059A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-10-12" }, { "@id": "LEGIARTI000023229228", "@num": "144-2-1", "#text": "Arrêté du 12 octobre 2004 - art. 144-2-1 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000254713", "@nortexte": "ECOT0420059A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-10-12" }, { "@id": "LEGIARTI000022440611", "@num": "144-4", "#text": "Arrêté du 12 octobre 2004 - art. 144-4 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000254713", "@nortexte": "ECOT0420059A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-10-12" }, { "@id": "LEGIARTI000036892760", "@num": "312-1", "#text": "Arrêté du 12 novembre 2004 - art. 312-1 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000025920375", "@num": "313-1", "#text": "Arrêté du 12 novembre 2004 - art. 313-1 (M)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036892936", "@num": "313-10", "#text": "Arrêté du 12 novembre 2004 - art. 313-10 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000028421655", "@num": "313-2", "#text": "Arrêté du 12 novembre 2004 - art. 313-2 (M)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036893028", "@num": "313-27", "#text": "Arrêté du 12 novembre 2004 - art. 313-27 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036892951", "@num": "313-6", "#text": "Arrêté du 12 novembre 2004 - art. 313-6 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000025932739", "@num": "313-74", "#text": "Arrêté du 12 novembre 2004 - art. 313-74 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000025932747", "@num": "313-75", "#text": "Arrêté du 12 novembre 2004 - art. 313-75 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036893926", "@num": "318-18", "#text": "Arrêté du 12 novembre 2004 - art. 318-18 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036893986", "@num": "318-4", "#text": "Arrêté du 12 novembre 2004 - art. 318-4 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036894433", "@num": "318-50", "#text": "Arrêté du 12 novembre 2004 - art. 318-50 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036893977", "@num": "318-6", "#text": "Arrêté du 12 novembre 2004 - art. 318-6 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000037151836", "@num": "321-31", "#text": "Arrêté du 12 novembre 2004 - art. 321-31 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036895424", "@num": "512-12", "#text": "Arrêté du 12 novembre 2004 - art. 512-12 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000028050594", "@num": "541-10", "#text": "Arrêté du 12 novembre 2004 - art. 541-10 (VD)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000037536885", "@num": "560-4 bis", "#text": "Arrêté du 12 novembre 2004 - art. 560-4 bis (T)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000029082416", "@num": "611-1", "#text": "Arrêté du 12 novembre 2004 - art. 611-1 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000006533068", "@num": "2", "#text": "Ordonnance n°2006-931 du 28 juillet 2006 - art. 2 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000790613", "@nortexte": "ECOX0600107R", "@numtexte": "2006-931", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2006-07-28" }, { "@id": "LEGIARTI000019285267", "@num": "160", "#text": "LOI n°2008-776\n du 4 août 2008 - art. 160", "@sens": "cible", "@cidtexte": "JORFTEXT000019283050", "@nortexte": "ECEX0808477L", "@numtexte": "2008-776", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "2008-08-04" }, { "@id": "LEGIARTI000020315589", "@num": "1", "#text": "Ordonnance n°2009-233\n du 26 février 2009 - art. 1 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000020314915", "@nortexte": "ECET0822074R", "@numtexte": "2009-233", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2009-02-26" }, { "@id": "LEGIARTI000020606628", "@num": "138", "#text": "LOI n°2009-526\n du 12 mai 2009 - art. 138 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000020604162", "@nortexte": "BCFX0824886L", "@numtexte": "2009-526", "@typelien": "MODIFIE", "@naturetexte": "LOI", "@datesignatexte": "2009-05-12" }, { "@id": "LEGIARTI000021721323", "@num": "19", "#text": "Ordonnance n°2010-76 du 21 janvier 2010 - art. 19 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000021719945", "@nortexte": "ECEX0929065R", "@numtexte": "2010-76", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2010-01-21" }, { "@id": "LEGIARTI000031561587", "@num": "6", "#text": "ORDONNANCE n° 2015-1576 du 3 décembre 2015 - art. 6 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000031560621", "@nortexte": "FCPT1519260R", "@numtexte": "2015-1576", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2015-12-03" }, { "@id": "LEGIARTI000034695027", "@num": "1", "#text": "Décret n°2017-865 du 9 mai 2017 - art. 1", "@sens": "cible", "@cidtexte": "JORFTEXT000034633181", "@nortexte": "ECFT1703547D", "@numtexte": "2017-865", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2017-05-09" }, { "@id": "LEGIARTI000035014371", "@num": "12", "#text": "Ordonnance n°2017-1107 du 22 juin 2017 - art. 12", "@sens": "cible", "@cidtexte": "JORFTEXT000035013490", "@nortexte": "ECOT1706653R", "@numtexte": "2017-1107", "@typelien": "CONCORDE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2017-06-22" }, { "@id": "LEGIARTI000037147775", "#text": "Arrêté du 14 juin 2018 - art.", "@sens": "cible", "@cidtexte": "JORFTEXT000037146528", "@nortexte": "ECOT1816563A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2018-06-14" }, { "@id": "LEGIARTI000039412880", "@num": "D341-2", "#text": "Code monétaire et financier - art. D341-2 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006641266", "@num": "D452-2", "#text": "Code monétaire et financier - art. D452-2 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035531095", "@num": "D541-8", "#text": "Code monétaire et financier - art. D541-8 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035531080", "@num": "D547-2", "#text": "Code monétaire et financier - art. D547-2 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000031643654", "@num": "L211-17-1", "#text": "Code monétaire et financier - art. L211-17-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000031094465", "@num": "L322-8", "#text": "Code monétaire et financier - art. L322-8 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000038612305", "@num": "L341-17", "#text": "Code monétaire et financier - art. L341-17 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050487960", "@num": "L465-3-5", "#text": "Code monétaire et financier - art. L465-3-5 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032745713", "@num": "L465-3-6", "#text": "Code monétaire et financier - art. L465-3-6 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000027850912", "@num": "L523-2", "#text": "Code monétaire et financier - art. L523-2 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035042889", "@num": "L532-10", "#text": "Code monétaire et financier - art. L532-10 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035042882", "@num": "L532-11", "#text": "Code monétaire et financier - art. L532-11 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043706887", "@num": "L532-6", "#text": "Code monétaire et financier - art. L532-6 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657679", "@num": "L533-1", "#text": "Code monétaire et financier - art. L533-1 (M)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035043151", "@num": "L533-2", "#text": "Code monétaire et financier - art. L533-2 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032303582", "@num": "L546-4", "#text": "Code monétaire et financier - art. L546-4 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000044564058", "@num": "L547-1", "#text": "Code monétaire et financier - art. L547-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006659824", "@num": "L613-21", "#text": "Code monétaire et financier - art. L613-21", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000039278717", "@num": "L621-12", "#text": "Code monétaire et financier - art. L621-12 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000033613304", "@num": "L621-13-1", "#text": "Code monétaire et financier - art. L621-13-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050370747", "@num": "L621-14", "#text": "Code monétaire et financier - art. L621-14 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050370739", "@num": "L621-14-1", "#text": "Code monétaire et financier - art. L621-14-1 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000030054277", "@num": "L621-15-1", "#text": "Code monétaire et financier - art. L621-15-1 (Ab)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000020574032", "@num": "L621-15-2", "#text": "Code monétaire et financier - art. L621-15-2 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050370703", "@num": "L621-17", "#text": "Code monétaire et financier - art. L621-17 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000022962304", "@num": "L621-17-1", "#text": "Code monétaire et financier - art. L621-17-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000033612118", "@num": "L621-17-1-1", "#text": "Code monétaire et financier - art. L621-17-1-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000044193296", "@num": "L621-2", "#text": "Code monétaire et financier - art. L621-2 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000027011497", "@num": "L621-20-2", "#text": "Code monétaire et financier - art. L621-20-2 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006660196", "@num": "L621-3", "#text": "Code monétaire et financier - art. L621-3 (M)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006660218", "@num": "L621-5", "#text": "Code monétaire et financier - art. L621-5 (M)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006660297", "@num": "L621-9", "#text": "Code monétaire et financier - art. 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] }, "BLOC_TEXTUEL": { "CONTENU": "

En cas d'urgence, le collège peut suspendre d'activité les personnes mentionnées aux a et b du II contre lesquelles des procédures de sanction sont engagées.

Si le collège transmet au procureur de la République le rapport mentionné au premier alinéa, le collège peut décider de rendre publique la transmission.

II.-La commission des sanctions peut, après une procédure contradictoire, prononcer une sanction à l'encontre des personnes suivantes :

c) Toute personne qui, sur le territoire français ou à l'étranger, s'est livrée ou a tenté de se livrer à une opération d'initié ou s'est livrée à une manipulation de cours, à la diffusion d'une fausse information ou à tout autre manquement mentionné au premier alinéa du I de l'article L. 621-14, dès lors que ces actes concernent un instrument financier admis aux négociations sur un marché réglementé ou sur un système multilatéral de négociation qui se soumet aux dispositions législatives ou réglementaires visant à protéger les investisseurs contre les opérations d'initiés, les manipulations de cours et la diffusion de fausses informations, ou pour lequel une demande d'admission aux négociations sur de tels marchés a été présentée, dans les conditions déterminées par le règlement général de l'Autorité des marchés financiers ;

III.-Les sanctions applicables sont :

a) Pour les personnes mentionnées aux 1° à 8°, 11°, 12° et 15° du II de l'article L. 621-9, l'avertissement, le blâme, l'interdiction à titre temporaire ou définitif de l'exercice de tout ou partie des services fournis ; la commission des sanctions peut prononcer soit à la place, soit en sus de ces sanctions une sanction pécuniaire dont le montant ne peut être supérieur à 10 millions d'euros ou au décuple du montant des profits éventuellement réalisés ; les sommes sont versées au fonds de garantie auquel est affiliée la personne sanctionnée ou, à défaut, au Trésor public ;

b) Pour les personnes physiques placées sous l'autorité ou agissant pour le compte de l'une des personnes mentionnées aux 1° à 8°, 11°, 12° et 15° du II de l'article L. 621-9, l'avertissement, le blâme, le retrait temporaire ou définitif de la carte professionnelle, l'interdiction à titre temporaire ou définitif de l'exercice de tout ou partie des activités ; la commission des sanctions peut prononcer soit à la place, soit en sus de ces sanctions une sanction pécuniaire dont le montant ne peut être supérieur à 1, 5 million d'euros ou au décuple du montant des profits éventuellement réalisés en cas de pratiques mentionnées aux c et d du II ou à 300 000 euros ou au quintuple des profits éventuellement réalisés dans les autres cas ; les sommes sont versées au fonds de garantie auquel est affiliée la personne morale sous l'autorité ou pour le compte de qui agit la personne sanctionnée ou, à défaut, au Trésor public ;

c) Pour les personnes autres que l'une des personnes mentionnées au II de l'article L. 621-9, auteurs des faits mentionnés aux c et d du II, une sanction pécuniaire dont le montant ne peut être supérieur à 10 millions d'euros ou au décuple du montant des profits éventuellement réalisés ; les sommes sont versées au Trésor public.

Le montant de la sanction doit être fixé en fonction de la gravité des manquements commis et en relation avec les avantages ou les profits éventuellement tirés de ces manquements.

" } }, "LEGIARTI000020867513": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L341-3", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2010-10-24", "DATE_DEBUT": "2009-11-01" } }, "META_COMMUN": { "ID": "LEGIARTI000020867513", "URL": "article/LEGI/ARTI/00/00/20/86/75/LEGIARTI000020867513.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "NOTA": { "CONTENU": "

le 3° de l'article L. 353-2 du code monétaire et financier a été abrogé par l'article 7 II de l'ordonnance n° 2005-429 du 6 mai 2005.

\n
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art. 2 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000441083", "@nortexte": "ECOT0420026A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234787", "@num": "3", "#text": "Arrêté du 28 septembre 2004 - art. 3 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000441083", "@nortexte": "ECOT0420026A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234766", "@num": "2", "#text": "Décret n°2004-1018 du 28 septembre 2004 - art. 2 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000804874", "@nortexte": "ECOT0420024D", "@numtexte": "2004-1018", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234768", "@num": "4", "#text": "Décret n°2004-1018 du 28 septembre 2004 - art. 4 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000804874", "@nortexte": "ECOT0420024D", "@numtexte": "2004-1018", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234769", "@num": "5", "#text": "Décret n°2004-1018 du 28 septembre 2004 - art. 5 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000804874", "@nortexte": "ECOT0420024D", "@numtexte": "2004-1018", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000025913771", "@num": "325-20", "#text": "Arrêté du 12 novembre 2004 - art. 325-20 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000027329714", "@num": "325-3", "#text": "Arrêté du 12 novembre 2004 - art. 325-3 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000037035215", "@num": "325-39", "#text": "Arrêté du 12 novembre 2004 - art. 325-39 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000046130022", "@num": "325-5", "#text": "Arrêté du 12 novembre 2004 - art. 325-5 (VD)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000029502072", "@num": "325-57", "#text": "Arrêté du 12 novembre 2004 - art. 325-57 (VD)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000037033740", "@num": "325-73", "#text": "Arrêté du 12 novembre 2004 - art. 325-73 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000025895044", "@num": "335-20", "#text": "Arrêté du 12 novembre 2004 - art. 335-20 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000006659273", "@num": "63", "#text": "Loi n°2006-1770 du 30 décembre 2006 - art. 63 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000458333", "@nortexte": "SOCX0600085L", "@numtexte": "2006-1770", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "2006-12-30" }, { "@id": "LEGIARTI000020859383", "@num": "8", "#text": "Ordonnance n°2009-866\n du 15 juillet 2009 - art. 8", "@sens": "cible", "@cidtexte": "JORFTEXT000020856747", "@nortexte": "ECET0911069R", "@numtexte": "2009-866", "@typelien": "MODIFIE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2009-07-15" }, { "@id": "LEGIARTI000029010989", "@num": "35", "#text": "Ordonnance n°2014-559\n du 30 mai 2014 - art. 35 (VD)", "@sens": "cible", "@cidtexte": "JORFTEXT000029008408", "@nortexte": "FCPX1406454R", "@numtexte": "2014-559", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2014-05-30" }, { "@id": "LEGIARTI000049708693", "@num": "12", "#text": "LOI n°2024-537 du 13 juin 2024 - art. 12", "@sens": "cible", "@cidtexte": "JORFTEXT000049707573", "@nortexte": "ECOX2407668L", "@numtexte": "2024-537", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "2024-06-13" }, { "@id": "LEGIARTI000006640620", "@num": "D341-10", "#text": "Code monétaire et financier - art. D341-10 (An)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000039412853", "@num": "D341-12", "#text": "Code monétaire et financier - art. D341-12 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006640739", "@num": "D341-13", "#text": "Code monétaire et financier - art. D341-13 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050372371", "@num": "L341-1", "#text": "Code monétaire et financier - art. L341-1 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000038612338", "@num": "L341-15", "#text": "Code monétaire et financier - art. 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Ne peuvent recourir ou se livrer à l'activité de démarchage bancaire ou financier, dans la limite des dispositions particulières qui les régissent, que :
\n
1° Les établissements de crédit définis à l'article L. 511-1, les organismes mentionnés à l'article L. 518-1, les établissements de paiement, les entreprises d'investissement et les entreprises d'assurance définies respectivement à l'article L. 531-4 du présent code et à l'article L. 310-1 du code des assurances, les sociétés de capital-risque mentionnées à l'article 1er-1 de la loi n° 85-695 du 11 juillet 1985 portant diverses dispositions d'ordre économique et financier, en vue de la souscription des titres qu'elles émettent, ainsi que les établissements et entreprises équivalents agréés dans un autre Etat membre de la Communauté européenne et habilités à intervenir sur le territoire français ;
\n
2° Les entreprises, dans le cadre des dispositifs relevant du titre IV du livre IV du code du travail qu'elles proposent à leurs bénéficiaires, ainsi que les personnes morales qu'elles mandatent pour proposer un de ces dispositifs conclus par l'entreprise. Dans ce cas, et sans préjudice des règles d'information et de commercialisation auxquelles elles sont soumises, seules sont applicables à ces activités de démarchage les dispositions de l'article L. 341-9, du 3° de l'article L. 353-2 (1) et de l'article L. 353-4 du présent code ;
\n
3° Les conseillers en investissements financiers définis à l'article L. 541-1, exclusivement pour les opérations prévues au 5° de l'article L. 341-1.
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L613-33-2 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000037294624", "@num": "L613-33-3", "#text": "Code monétaire et financier - art. L613-33-3 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000028636250", "@num": "L613-35", "#text": "Code monétaire et financier - art. L613-35 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000031080542", "@num": "L613-70", "#text": "Code monétaire et financier - art. L613-70 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050370712", "@num": "L621-15", "#text": "Code monétaire et financier - art. L621-15 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000028635957", "@num": "L633-12", "#text": "Code monétaire et financier - art. L633-12 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000030898437", "@num": "L713-12", "#text": "Code monétaire et financier - art. L713-12 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000027825227", "@num": "L745-7-2", "#text": "Code monétaire et financier - art. L745-7-2 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000044984056", "@num": "L746-2", "#text": "Code monétaire et financier - art. L746-2 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000027825342", "@num": "L755-7-2", "#text": "Code monétaire et financier - art. L755-7-2 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000044984009", "@num": "L756-2", "#text": "Code monétaire et financier - art. L756-2 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035045393", "@num": "L766-2", "#text": "Code monétaire et financier - art. L766-2 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000047850659", "@num": "L773-45", "#text": "Code monétaire et financier - art. L773-45 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000047850647", "@num": "L774-45", "#text": "Code monétaire et financier - art. L774-45 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000049462616", "@num": "L784-2", "#text": "Code monétaire et financier - art. L784-2 (M)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050381824", "@num": "L785-2", "#text": "Code monétaire et financier - art. L785-2 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000027881322", "@num": "R522-3", "#text": "Code monétaire et financier - art. R522-3 (T)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000027884250", "@num": "R526-5", "#text": "Code monétaire et financier - art. R526-5 (T)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035437707", "@num": "R532-19", "#text": "Code monétaire et financier - art. R532-19 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000029464341", "@num": "R548-2", "#text": "Code monétaire et financier - art. R548-2 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000027875540", "@num": "R612-17", "#text": "Code monétaire et financier - art. R612-17 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000028154321", "@num": "R612-18", "#text": "Code monétaire et financier - art. R612-18 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000042751258", "@num": "R612-51-1", "#text": "Code monétaire et financier - art. R612-51-1 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000021938746", "@num": "R612-52", "#text": "Code monétaire et financier - art. R612-52 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000029727113", "@num": "R613-18", "#text": "Code monétaire et financier - art. R613-18 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000029752354", "@num": "R613-36", "#text": "Code monétaire et financier - art. R613-36 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000029711263", "@num": "R613-38", "#text": "Code monétaire et financier - art. R613-38 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000029711265", "@num": "R613-39", "#text": "Code monétaire et financier - art. 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R766-2 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006798766", "@num": "L334-1", "#text": "Code des assurances - art. L334-1", "@sens": "source", "@cidtexte": "LEGITEXT000006073984", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000021724345", "@fin": "2999-01-01", "#text": "Sous-section 2 : Liste des sanctions", "@debut": "2010-01-23" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000021724352", "@fin": "2999-01-01", "#text": "Section 7 : Pouvoir disciplinaire", "@debut": "2010-01-23" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006154718", "@fin": "2010-01-23", "#text": "Chapitre II : Comité des établissements de crédit et des entreprises d'investissement", "@debut": "2001-01-01" }, { "@id": "LEGISCTA000021724278", "@fin": "2013-07-28", "#text": "Chapitre II : L'Autorité de contrôle prudentiel", "@debut": "2010-01-23" }, { "@id": "LEGISCTA000027854161", "@fin": "2999-01-01", "#text": "Chapitre II : L'Autorité de contrôle prudentiel et de résolution", "@debut": "2013-07-28" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006140137", "@fin": "2009-11-01", "#text": "Titre Ier : Les institutions communes aux établissements de crédit et aux entreprises d'investissement", "@debut": "2001-01-01" }, { "@id": "LEGISCTA000020874234", "@fin": "2010-01-23", "#text": "Titre Ier : Les institutions communes aux établissements de crédit, aux établissements de paiement et aux entreprises d'investissement", "@debut": "2009-11-01" }, { "@id": "LEGISCTA000021724280", "@fin": "2999-01-01", "#text": "Titre Ier : Les institutions compétentes en matière de réglementation et de contrôle", "@debut": "2010-01-23" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006124085", "@fin": "2999-01-01", "#text": "Livre VI : Les institutions en matière bancaire et financière", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006101336", "@fin": "2999-01-01", "#text": "Partie législative", "@debut": "2001-01-01" } ] }, "@cid": "LEGITEXT000006072026", "@nature": "CODE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Code monétaire et financier", "@debut": "2001-01-01", "@id_txt": "LEGITEXT000006072026", "@c_titre_court": "Code monétaire et financier" } ], "@date_publi": "2999-01-01", "@date_signature": "2999-01-01" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000021724341", "@fin": "2010-10-24", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2010-01-23", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000022962445", "@fin": "2013-01-30", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2010-10-24", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000027007982", "@fin": "2013-07-28", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2013-01-30", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000027782694", "@fin": "2014-02-22", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2013-07-28", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000028636092", "@fin": "2014-11-08", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2014-02-22", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000029722176", "@fin": "2015-08-22", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2014-11-08", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000031094890", "@fin": "2016-01-01", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2015-08-22", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000030438029", "@fin": "2016-12-11", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2016-01-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000033612160", "@fin": "2017-04-08", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2016-12-11", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000034386937", "@fin": "2018-01-03", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2017-04-08", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000035043654", "@fin": "2018-10-01", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2018-01-03", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000036923552", "@fin": "2020-12-29", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2018-10-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000042735662", "@fin": "2023-09-01", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2020-12-29", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000048029861", "@fin": "2024-10-18", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2023-09-01", "@origine": "LEGI" } }, { "@etat": "VIGUEUR", "LIEN_ART": { "@id": "LEGIARTI000050370493", "@fin": "2999-01-01", "@num": "L612-39", "@etat": "VIGUEUR", "@debut": "2024-10-18", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "Si l'une des personnes mentionnées au I de l'article L. 612-2, à l'exception de celles mentionnées aux 4° et 5° du A et au 4° du B, a enfreint une disposition législative ou réglementaire au respect de laquelle l'Autorité a pour mission de veiller ou des codes de conduite homologués applicables à sa profession, n'a pas remis à l'Autorité le programme de rétablissement demandé, n'a pas tenu compte d'une mise en garde, n'a pas déféré à une mise en demeure ou n'a pas respecté les conditions particulières posées ou les engagements pris à l'occasion d'une demande d'agrément, d'autorisation ou de dérogation prévue par les dispositions législatives ou réglementaires applicables, la commission des sanctions peut prononcer l'une ou plusieurs des sanctions disciplinaires suivantes, en fonction de la gravité du manquement :
\n
1° L'avertissement ;
\n
2° Le blâme ;
\n
3° L'interdiction d'effectuer certaines opérations et toutes autres limitations dans l'exercice de l'activité ;
\n
4° La suspension temporaire d'un ou plusieurs dirigeants ou, dans le cas d'un établissement de paiement exerçant des activités hybrides, des personnes déclarées responsables de la gestion des activités de services de paiement, avec ou sans nomination d'administrateur provisoire ;
\n
5° La démission d'office d'un ou plusieurs dirigeants ou, dans le cas d'un établissement de paiement exerçant des activités hybrides, des personnes déclarées responsables de la gestion des activités de services de paiement, avec ou sans nomination d'administrateur provisoire ;
\n
6° Le retrait partiel d'agrément ;
\n
7° La radiation de la liste des personnes agréées, avec ou sans nomination d'un liquidateur.
\n
Les sanctions mentionnées aux 3° et 4° ne peuvent, dans leur durée, excéder dix ans.
\n
Lorsque la procédure de sanction engagée peut conduire à l'application de sanctions à des dirigeants, la formation de l'Autorité qui a décidé de l'engagement de la procédure indique expressément, dans la notification de griefs, que les sanctions mentionnées aux 4° et 5° sont susceptibles d'être prononcées à l'encontre des dirigeants qu'elle désigne, en précisant les éléments susceptibles de fonder leur responsabilité directe et personnelle dans les manquements ou infractions en cause, et la commission des sanctions veille au respect à leur égard du caractère contradictoire de la procédure.
\n
La commission des sanctions peut prononcer, soit à la place, soit en sus de ces sanctions, une sanction pécuniaire au plus égale à cinquante millions d'euros.
\n
La commission des sanctions peut assortir la sanction d'une astreinte, dont elle fixe le montant et la date d'effet. Un décret en Conseil d'Etat fixe la procédure applicable, le montant journalier maximum de l'astreinte et les modalités selon lesquelles, en cas d'inexécution totale ou partielle ou de retard d'exécution, il est procédé à la liquidation de l'astreinte.
\n
La commission des sanctions peut également prononcer les sanctions mentionnées au présent article s'il n'a pas été déféré aux injonctions prévues aux articles L. 511-41-3 et L. 522-15-1 et aux exigences complémentaires prévues au second alinéa de l'article L. 334-1 du code des assurances.
\n
L'Autorité peut rendre publique sa décision dans les journaux, publications ou supports qu'elle désigne. Les frais sont supportés par la personne sanctionnée." } }, "LEGIARTI000021759554": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L621-15", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2010-10-24", "DATE_DEBUT": "2010-01-23" } }, "META_COMMUN": { "ID": "LEGIARTI000021759554", "URL": "article/LEGI/ARTI/00/00/21/75/95/LEGIARTI000021759554.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "NOTA": { "CONTENU": "

" }, "LIENS": { "LIEN": [ { "@id": "LEGIARTI000006738834", "@num": "17", "#text": "Décret n°96-880 du 8 octobre 1996 - art. 17 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000378759", "@nortexte": "ECOT9620035D", "@numtexte": "96-880", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "1996-10-08" }, { "@id": "LEGITEXT000005630278", "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@nortexte": "ECOX0000098R", "@numtexte": "2000-1223", "@typelien": "CODIFICATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2000-12-14" }, { "@id": "LEGIARTI000006209248", "@num": "2", "#text": "Décret n°2002-371 du 14 mars 2002 - art. 2 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000771486", "@nortexte": "ECOT0220010D", "@numtexte": "2002-371", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2002-03-14" }, { "@id": "LEGIARTI000006209249", "@num": "3", "#text": "Décret n°2002-371 du 14 mars 2002 - art. 3 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000771486", "@nortexte": "ECOT0220010D", "@numtexte": "2002-371", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2002-03-14" }, { "@id": "LEGIARTI000022336015", "@num": "49", "#text": "Loi n°2003-706 du 1 août 2003 - art. 49 (VD)", "@sens": "cible", "@cidtexte": "JORFTEXT000000428977", "@nortexte": "ECOX0200186L", "@numtexte": "2003-706", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "2003-08-01" }, { "@id": "LEGIARTI000006744394", "@num": "10", "#text": "Décret n°2003-1109 du 21 novembre 2003 - art. 10 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000797295", "@nortexte": "ECOT0320019D", "@numtexte": "2003-1109", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2003-11-21" }, { "@id": "LEGIARTI000006234776", "@num": "2", "#text": "Décret n°2004-1019 du 28 septembre 2004 - art. 2 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000805047", "@nortexte": "ECOT0420028D", "@numtexte": "2004-1019", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234804", "@num": "8", "#text": "Décret n°2004-1023 du 29 septembre 2004 - 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] }, "BLOC_TEXTUEL": { "CONTENU": "

I.-Le collège examine le rapport d'enquête ou de contrôle établi par les services de l'Autorité des marchés financiers, ou la demande formulée par le président de l'Autorité de contrôle prudentiel.

En cas d'urgence, le collège peut suspendre d'activité les personnes mentionnées aux a et b du II contre lesquelles des procédures de sanction sont engagées.

Si le collège transmet au procureur de la République le rapport mentionné au premier alinéa, le collège peut décider de rendre publique la transmission.

II.-La commission des sanctions peut, après une procédure contradictoire, prononcer une sanction à l'encontre des personnes suivantes :

c) Toute personne qui, sur le territoire français ou à l'étranger, s'est livrée ou a tenté de se livrer à une opération d'initié ou s'est livrée à une manipulation de cours, à la diffusion d'une fausse information ou à tout autre manquement mentionné au premier alinéa du I de l'article L. 621-14, dès lors que ces actes concernent un instrument financier admis aux négociations sur un marché réglementé ou sur un système multilatéral de négociation qui se soumet aux dispositions législatives ou réglementaires visant à protéger les investisseurs contre les opérations d'initiés, les manipulations de cours et la diffusion de fausses informations, ou pour lequel une demande d'admission aux négociations sur de tels marchés a été présentée, dans les conditions déterminées par le règlement général de l'Autorité des marchés financiers ;

III.-Les sanctions applicables sont :

a) Pour les personnes mentionnées aux 1° à 8°, 11°, 12° et 15° du II de l'article L. 621-9, l'avertissement, le blâme, l'interdiction à titre temporaire ou définitif de l'exercice de tout ou partie des services fournis ; la commission des sanctions peut prononcer soit à la place, soit en sus de ces sanctions une sanction pécuniaire dont le montant ne peut être supérieur à 10 millions d'euros ou au décuple du montant des profits éventuellement réalisés ; les sommes sont versées au fonds de garantie auquel est affiliée la personne sanctionnée ou, à défaut, au Trésor public ;

b) Pour les personnes physiques placées sous l'autorité ou agissant pour le compte de l'une des personnes mentionnées aux 1° à 8°, 11°, 12° et 15° du II de l'article L. 621-9, l'avertissement, le blâme, le retrait temporaire ou définitif de la carte professionnelle, l'interdiction à titre temporaire ou définitif de l'exercice de tout ou partie des activités ; la commission des sanctions peut prononcer soit à la place, soit en sus de ces sanctions une sanction pécuniaire dont le montant ne peut être supérieur à 1, 5 million d'euros ou au décuple du montant des profits éventuellement réalisés en cas de pratiques mentionnées aux c et d du II ou à 300 000 euros ou au quintuple des profits éventuellement réalisés dans les autres cas ; les sommes sont versées au fonds de garantie auquel est affiliée la personne morale sous l'autorité ou pour le compte de qui agit la personne sanctionnée ou, à défaut, au Trésor public ;

c) Pour les personnes autres que l'une des personnes mentionnées au II de l'article L. 621-9, auteurs des faits mentionnés aux c et d du II, une sanction pécuniaire dont le montant ne peut être supérieur à 10 millions d'euros ou au décuple du montant des profits éventuellement réalisés ; les sommes sont versées au Trésor public.

Le montant de la sanction doit être fixé en fonction de la gravité des manquements commis et en relation avec les avantages ou les profits éventuellement tirés de ces manquements.

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art. 3 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000771486", "@nortexte": "ECOT0220010D", "@numtexte": "2002-371", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2002-03-14" }, { "@id": "LEGIARTI000022336015", "@num": "49", "#text": "Loi n°2003-706 du 1 août 2003 - art. 49 (VD)", "@sens": "cible", "@cidtexte": "JORFTEXT000000428977", "@nortexte": "ECOX0200186L", "@numtexte": "2003-706", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "2003-08-01" }, { "@id": "LEGIARTI000006744394", "@num": "10", "#text": "Décret n°2003-1109 du 21 novembre 2003 - art. 10 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000797295", "@nortexte": "ECOT0320019D", "@numtexte": "2003-1109", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2003-11-21" }, { "@id": "LEGIARTI000006234776", "@num": "2", "#text": "Décret n°2004-1019 du 28 septembre 2004 - art. 2 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000805047", "@nortexte": "ECOT0420028D", "@numtexte": "2004-1019", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234804", "@num": "8", "#text": "Décret n°2004-1023 du 29 septembre 2004 - art. 8 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000802392", "@nortexte": "ECOT0420033D", "@numtexte": "2004-1023", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-29" }, { "@id": "LEGIARTI000022440626", "@num": "143-5", "#text": "Arrêté du 12 octobre 2004 - art. 143-5 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000254713", "@nortexte": "ECOT0420059A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-10-12" }, { "@id": "LEGIARTI000023229228", "@num": "144-2-1", "#text": "Arrêté du 12 octobre 2004 - art. 144-2-1 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000254713", "@nortexte": "ECOT0420059A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-10-12" }, { "@id": "LEGIARTI000022440611", "@num": "144-4", "#text": "Arrêté du 12 octobre 2004 - art. 144-4 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000254713", "@nortexte": "ECOT0420059A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-10-12" }, { "@id": "LEGIARTI000036892760", "@num": "312-1", "#text": "Arrêté du 12 novembre 2004 - art. 312-1 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000025920375", "@num": "313-1", "#text": "Arrêté du 12 novembre 2004 - art. 313-1 (M)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036892936", "@num": "313-10", "#text": "Arrêté du 12 novembre 2004 - art. 313-10 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000028421655", "@num": "313-2", "#text": "Arrêté du 12 novembre 2004 - art. 313-2 (M)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036893028", "@num": "313-27", "#text": "Arrêté du 12 novembre 2004 - art. 313-27 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036892951", "@num": "313-6", "#text": "Arrêté du 12 novembre 2004 - art. 313-6 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000025932739", "@num": "313-74", "#text": "Arrêté du 12 novembre 2004 - art. 313-74 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000025932747", "@num": "313-75", "#text": "Arrêté du 12 novembre 2004 - art. 313-75 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036893926", "@num": "318-18", "#text": "Arrêté du 12 novembre 2004 - art. 318-18 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036893986", "@num": "318-4", "#text": "Arrêté du 12 novembre 2004 - art. 318-4 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036894433", "@num": "318-50", "#text": "Arrêté du 12 novembre 2004 - art. 318-50 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036893977", "@num": "318-6", "#text": "Arrêté du 12 novembre 2004 - art. 318-6 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000037151836", "@num": "321-31", "#text": "Arrêté du 12 novembre 2004 - art. 321-31 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036895424", "@num": "512-12", "#text": "Arrêté du 12 novembre 2004 - art. 512-12 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000028050594", "@num": "541-10", "#text": "Arrêté du 12 novembre 2004 - art. 541-10 (VD)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000037536885", "@num": "560-4 bis", "#text": "Arrêté du 12 novembre 2004 - art. 560-4 bis (T)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000029082416", "@num": "611-1", "#text": "Arrêté du 12 novembre 2004 - art. 611-1 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000006533068", "@num": "2", "#text": "Ordonnance n°2006-931 du 28 juillet 2006 - art. 2 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000790613", "@nortexte": "ECOX0600107R", "@numtexte": "2006-931", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2006-07-28" }, { "@id": "LEGIARTI000019285267", "@num": "160", "#text": "LOI n°2008-776\n du 4 août 2008 - art. 160", "@sens": "cible", "@cidtexte": "JORFTEXT000019283050", "@nortexte": "ECEX0808477L", "@numtexte": "2008-776", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "2008-08-04" }, { "@id": "LEGIARTI000020315589", "@num": "1", "#text": "Ordonnance n°2009-233\n du 26 février 2009 - art. 1 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000020314915", "@nortexte": "ECET0822074R", "@numtexte": "2009-233", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2009-02-26" }, { "@id": "LEGIARTI000021721323", "@num": "19", "#text": "Ordonnance n°2010-76 du 21 janvier 2010 - art. 19 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000021719945", "@nortexte": "ECEX0929065R", "@numtexte": "2010-76", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2010-01-21" }, { "@id": "LEGIARTI000022942870", "@num": "24", "#text": "LOI n°2010-1249 du 22 octobre 2010 - art. 24", "@sens": "cible", "@cidtexte": "JORFTEXT000022940663", "@nortexte": "ECEX0928177L", "@numtexte": "2010-1249", "@typelien": "MODIFIE", "@naturetexte": "LOI", "@datesignatexte": "2010-10-22" }, { "@id": "LEGIARTI000022942904", "@num": "36", "#text": "LOI n°2010-1249 du 22 octobre 2010 - art. 36", "@sens": "cible", "@cidtexte": "JORFTEXT000022940663", "@nortexte": "ECEX0928177L", "@numtexte": "2010-1249", "@typelien": "MODIFIE", "@naturetexte": "LOI", "@datesignatexte": "2010-10-22" }, { "@id": "LEGIARTI000022942819", "@num": "4", "#text": "LOI n°2010-1249 du 22 octobre 2010 - art. 4", "@sens": "cible", "@cidtexte": "JORFTEXT000022940663", "@nortexte": "ECEX0928177L", "@numtexte": "2010-1249", "@typelien": "MODIFIE", "@naturetexte": "LOI", "@datesignatexte": "2010-10-22" }, { "@id": "LEGIARTI000022942821", "@num": "6", "#text": "LOI n°2010-1249 du 22 octobre 2010 - art. 6", "@sens": "cible", "@cidtexte": "JORFTEXT000022940663", "@nortexte": "ECEX0928177L", "@numtexte": "2010-1249", "@typelien": "MODIFIE", "@naturetexte": "LOI", "@datesignatexte": "2010-10-22" }, { "@id": "LEGIARTI000031561587", "@num": "6", "#text": "ORDONNANCE n° 2015-1576 du 3 décembre 2015 - art. 6 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000031560621", "@nortexte": "FCPT1519260R", "@numtexte": "2015-1576", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2015-12-03" }, { "@id": "LEGIARTI000034695027", "@num": "1", "#text": "Décret n°2017-865 du 9 mai 2017 - art. 1", "@sens": "cible", "@cidtexte": "JORFTEXT000034633181", "@nortexte": "ECFT1703547D", "@numtexte": "2017-865", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2017-05-09" }, { "@id": "LEGIARTI000035014371", "@num": "12", "#text": "Ordonnance n°2017-1107 du 22 juin 2017 - art. 12", "@sens": "cible", "@cidtexte": "JORFTEXT000035013490", "@nortexte": "ECOT1706653R", "@numtexte": "2017-1107", "@typelien": "CONCORDE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2017-06-22" }, { "@id": "LEGIARTI000037147775", "#text": "Arrêté du 14 juin 2018 - art.", "@sens": "cible", "@cidtexte": "JORFTEXT000037146528", "@nortexte": "ECOT1816563A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2018-06-14" }, { "@id": "LEGIARTI000039412880", "@num": "D341-2", "#text": "Code monétaire et financier - art. D341-2 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006641266", "@num": "D452-2", "#text": "Code monétaire et financier - art. D452-2 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035531095", "@num": "D541-8", "#text": "Code monétaire et financier - art. D541-8 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035531080", "@num": "D547-2", "#text": "Code monétaire et financier - art. D547-2 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000031643654", "@num": "L211-17-1", "#text": "Code monétaire et financier - art. L211-17-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000031094465", "@num": "L322-8", "#text": "Code monétaire et financier - art. L322-8 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000038612305", "@num": "L341-17", "#text": "Code monétaire et financier - art. L341-17 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006652335", "@num": "L421-1", "#text": "Code monétaire et financier - art. L421-1 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050487960", "@num": "L465-3-5", "#text": "Code monétaire et financier - art. L465-3-5 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032745713", "@num": "L465-3-6", "#text": "Code monétaire et financier - art. L465-3-6 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000027850912", "@num": "L523-2", "#text": "Code monétaire et financier - art. L523-2 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035042889", "@num": "L532-10", "#text": "Code monétaire et financier - art. L532-10 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035042882", "@num": "L532-11", "#text": "Code monétaire et financier - art. L532-11 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043706887", "@num": "L532-6", "#text": "Code monétaire et financier - art. L532-6 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657679", "@num": "L533-1", "#text": "Code monétaire et financier - art. L533-1 (M)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035043151", "@num": "L533-2", "#text": "Code monétaire et financier - art. L533-2 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000022954075", "@num": "L546-1", "#text": "Code monétaire et financier - art. L546-1 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032303582", "@num": "L546-4", "#text": "Code monétaire et financier - art. L546-4 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000044564058", "@num": "L547-1", "#text": "Code monétaire et financier - art. L547-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000021722334", "@num": "L612-39", "#text": "Code monétaire et financier - art. L612-39", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000039278717", "@num": "L621-12", "#text": "Code monétaire et financier - art. L621-12 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000033613304", "@num": "L621-13-1", "#text": "Code monétaire et financier - art. L621-13-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050370747", "@num": "L621-14", "#text": "Code monétaire et financier - art. L621-14 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050370739", "@num": "L621-14-1", "#text": "Code monétaire et financier - art. L621-14-1 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000030054277", "@num": "L621-15-1", "#text": "Code monétaire et financier - art. L621-15-1 (Ab)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000020574032", "@num": "L621-15-2", "#text": "Code monétaire et financier - art. L621-15-2 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050370703", "@num": "L621-17", "#text": "Code monétaire et financier - art. L621-17 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000022962304", "@num": "L621-17-1", "#text": "Code monétaire et financier - art. L621-17-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000033612118", "@num": "L621-17-1-1", "#text": "Code monétaire et financier - art. L621-17-1-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000044193296", "@num": "L621-2", "#text": "Code monétaire et financier - art. L621-2 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000027011497", "@num": "L621-20-2", "#text": "Code monétaire et financier - art. L621-20-2 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006660196", "@num": "L621-3", "#text": "Code monétaire et financier - art. 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Un membre du collège, ayant examiné le rapport d'enquête ou de contrôle et pris part à la décision d'ouverture d'une procédure de sanction, est convoqué à l'audience. Il y assiste sans voix délibérative. Il peut être assisté ou représenté par les services de l'Autorité des marchés financiers. Il peut présenter des observations au soutien des griefs notifiés et proposer une sanction.

La commission des sanctions peut entendre tout agent des services de l'autorité.

En cas d'urgence, le collège peut suspendre d'activité les personnes mentionnées aux a et b du II contre lesquelles des procédures de sanction sont engagées.

Si le collège transmet au procureur de la République le rapport mentionné au premier alinéa, le collège peut décider de rendre publique la transmission.

II.-La commission des sanctions peut, après une procédure contradictoire, prononcer une sanction à l'encontre des personnes suivantes :

a) Les personnes mentionnées aux 1° à 8° et 11° à 17° du II de l'article L. 621-9, au titre de tout manquement à leurs obligations professionnelles définies par les lois, règlements et règles professionnelles approuvées par l'Autorité des marchés financiers en vigueur, sous réserve des dispositions de l'article L. 612-39 ;

b) Les personnes physiques placées sous l'autorité ou agissant pour le compte de l'une des personnes mentionnées aux 1° à 8° et 11° à 17° du II de l'article L. 621-9 au titre de tout manquement à leurs obligations professionnelles définies par les lois, règlements et règles professionnelles approuvées par l'Autorité des marchés financiers en vigueur, sous réserve des dispositions de l'article L. 612-39 ;

-un instrument financier ou un actif mentionné au II de l'article L. 421-1 admis aux négociations sur un marché réglementé ou sur un système multilatéral de négociation qui se soumet aux dispositions législatives ou réglementaires visant à protéger les investisseurs contre les opérations d'initiés, les manipulations de cours et la diffusion de fausses informations, ou pour lequel une demande d'admission aux négociations sur de tels marchés a été présentée, dans les conditions déterminées par le règlement général de l'Autorité des marchés financiers ;

-un instrument financier lié à un ou plusieurs instruments mentionnés à l'alinéa précédent ;

-un instrument financier ou un actif mentionné au II de l'article L. 421-1 admis aux négociations sur un marché réglementé d'un autre Etat membre de l'Union européenne ou partie à l'accord sur l'Espace économique européen ou pour lequel une demande d'admission aux négociations sur un tel marché a été présentée ;

-un instrument financier lié à un ou plusieurs instruments mentionnés à l'alinéa précédent ;

III.-Les sanctions applicables sont :

a) Pour les personnes mentionnées aux 1° à 8°,11°,12°,15° à 17° du II de l'article L. 621-9, l'avertissement, le blâme, l'interdiction à titre temporaire ou définitif de l'exercice de tout ou partie des services fournis, la radiation du registre mentionné à l'article L. 546-1 ; la commission des sanctions peut prononcer soit à la place, soit en sus de ces sanctions une sanction pécuniaire dont le montant ne peut être supérieur à 100 millions d'euros ou au décuple du montant des profits éventuellement réalisés ; les sommes sont versées au fonds de garantie auquel est affiliée la personne sanctionnée ou, à défaut, au Trésor public ;

b) Pour les personnes physiques placées sous l'autorité ou agissant pour le compte de l'une des personnes mentionnées aux 1° à 8°,11°,12°,15° à 17° du II de l'article L. 621-9, l'avertissement, le blâme, le retrait temporaire ou définitif de la carte professionnelle, l'interdiction à titre temporaire ou définitif de l'exercice de tout ou partie des activités ; la commission des sanctions peut prononcer soit à la place, soit en sus de ces sanctions une sanction pécuniaire dont le montant ne peut être supérieur à 15 millions d'euros ou au décuple du montant des profits éventuellement réalisés en cas de pratiques mentionnées aux c et d du II ou à 300 000 euros ou au quintuple des profits éventuellement réalisés dans les autres cas ; les sommes sont versées au fonds de garantie auquel est affiliée la personne morale sous l'autorité ou pour le compte de qui agit la personne sanctionnée ou, à défaut, au Trésor public ;

c) Pour les personnes autres que l'une des personnes mentionnées au II de l'article L. 621-9, auteurs des faits mentionnés aux c et d du II, une sanction pécuniaire dont le montant ne peut être supérieur à 100 millions d'euros ou au décuple du montant des profits éventuellement réalisés ; les sommes sont versées au Trésor public.

Le montant de la sanction doit être fixé en fonction de la gravité des manquements commis et en relation avec les avantages ou les profits éventuellement tirés de ces manquements.

IV bis.-Les séances de la commission des sanctions sont publiques.

Toutefois, d'office ou sur la demande d'une personne mise en cause, le président de la formation saisie de l'affaire peut interdire au public l'accès de la salle pendant tout ou partie de l'audience dans l'intérêt de l'ordre public, de la sécurité nationale ou lorsque la protection des secrets d'affaires ou de tout autre secret protégé par la loi l'exige.

V.-La décision de la commission des sanctions est rendue publique dans les publications, journaux ou supports qu'elle désigne, dans un format proportionné à la faute commise et à la sanction infligée. Les frais sont supportés par les personnes sanctionnées. Toutefois, lorsque la publication risque de perturber gravement les marchés financiers ou de causer un préjudice disproportionné aux parties en cause, la décision de la commission peut prévoir qu'elle ne sera pas publiée.

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L523-2 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000027853837", "@num": "L526-16", "#text": "Code monétaire et financier - art. L526-16 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000027853839", "@num": "L526-17", "#text": "Code monétaire et financier - art. L526-17 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043706887", "@num": "L532-6", "#text": "Code monétaire et financier - art. L532-6 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000028635659", "@num": "L533-2", "#text": "Code monétaire et financier - art. 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L612-41 (M)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000021724333", "@num": "L612-42", "#text": "Code monétaire et financier - art. L612-42 (M)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000031094988", "@num": "L613-31-2", "#text": "Code monétaire et financier - art. L613-31-2 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000042735709", "@num": "L613-33", "#text": "Code monétaire et financier - art. L613-33 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000027824925", "@num": "L613-33-1", "#text": "Code monétaire et financier - art. L613-33-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035430930", "@num": "L613-33-2", "#text": "Code monétaire et financier - art. L613-33-2 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000037294624", "@num": "L613-33-3", "#text": "Code monétaire et financier - art. L613-33-3 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000028636250", "@num": "L613-35", "#text": "Code monétaire et financier - art. L613-35 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000031080542", "@num": "L613-70", "#text": "Code monétaire et financier - art. L613-70 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050370712", "@num": "L621-15", "#text": "Code monétaire et financier - art. L621-15 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000028635957", "@num": "L633-12", "#text": "Code monétaire et financier - art. L633-12 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000030898437", "@num": "L713-12", "#text": "Code monétaire et financier - art. L713-12 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000027825227", "@num": "L745-7-2", "#text": "Code monétaire et financier - art. L745-7-2 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000044984056", "@num": "L746-2", "#text": "Code monétaire et financier - art. L746-2 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000027825342", "@num": "L755-7-2", "#text": "Code monétaire et financier - art. L755-7-2 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000044984009", "@num": "L756-2", "#text": "Code monétaire et financier - art. L756-2 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035045393", "@num": "L766-2", "#text": "Code monétaire et financier - art. L766-2 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000047850659", "@num": "L773-45", "#text": "Code monétaire et financier - art. L773-45 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000047850647", "@num": "L774-45", "#text": "Code monétaire et financier - art. L774-45 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000049462616", "@num": "L784-2", "#text": "Code monétaire et financier - art. L784-2 (M)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050381824", "@num": "L785-2", "#text": "Code monétaire et financier - art. L785-2 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000027881322", "@num": "R522-3", "#text": "Code monétaire et financier - art. R522-3 (T)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000027884250", "@num": "R526-5", "#text": "Code monétaire et financier - art. R526-5 (T)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035437707", "@num": "R532-19", "#text": "Code monétaire et financier - art. R532-19 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000029464341", "@num": "R548-2", "#text": "Code monétaire et financier - art. R548-2 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000027875540", "@num": "R612-17", "#text": "Code monétaire et financier - art. R612-17 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000028154321", "@num": "R612-18", "#text": "Code monétaire et financier - art. R612-18 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000042751258", "@num": "R612-51-1", "#text": "Code monétaire et financier - art. R612-51-1 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000021938746", "@num": "R612-52", "#text": "Code monétaire et financier - art. R612-52 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000029727113", "@num": "R613-18", "#text": "Code monétaire et financier - art. R613-18 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000029752354", "@num": "R613-36", "#text": "Code monétaire et financier - art. R613-36 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000029711263", "@num": "R613-38", "#text": "Code monétaire et financier - art. R613-38 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000029711265", "@num": "R613-39", "#text": "Code monétaire et financier - art. R613-39 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000028957460", "@num": "R711-20", "#text": "Code monétaire et financier - art. R711-20 (Ab)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043767471", "@num": "R746-2", "#text": "Code monétaire et financier - art. R746-2 (Ab)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043767461", "@num": "R756-2", "#text": "Code monétaire et financier - art. R756-2 (Ab)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035438358", "@num": "R766-2", "#text": "Code monétaire et financier - art. R766-2 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006798766", "@num": "L334-1", "#text": "Code des assurances - art. L334-1", "@sens": "source", "@cidtexte": "LEGITEXT000006073984", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006792519", "@num": "L510-1-1", "#text": "Code de la mutualité - art. L510-1-1", "@sens": "source", "@cidtexte": "LEGITEXT000006074067", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000021724345", "@fin": "2999-01-01", "#text": "Sous-section 2 : Liste des sanctions", "@debut": "2010-01-23" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000021724352", "@fin": "2999-01-01", "#text": "Section 7 : Pouvoir disciplinaire", "@debut": "2010-01-23" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006154718", "@fin": "2010-01-23", "#text": "Chapitre II : Comité des établissements de crédit et des entreprises d'investissement", "@debut": "2001-01-01" }, { "@id": "LEGISCTA000021724278", "@fin": "2013-07-28", "#text": "Chapitre II : L'Autorité de contrôle prudentiel", "@debut": "2010-01-23" }, { "@id": "LEGISCTA000027854161", "@fin": "2999-01-01", "#text": "Chapitre II : L'Autorité de contrôle prudentiel et de résolution", "@debut": "2013-07-28" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006140137", "@fin": "2009-11-01", "#text": "Titre Ier : Les institutions communes aux établissements de crédit et aux entreprises d'investissement", "@debut": "2001-01-01" }, { "@id": "LEGISCTA000020874234", "@fin": "2010-01-23", "#text": "Titre Ier : Les institutions communes aux établissements de crédit, aux établissements de paiement et aux entreprises d'investissement", "@debut": "2009-11-01" }, { "@id": "LEGISCTA000021724280", "@fin": "2999-01-01", "#text": "Titre Ier : Les institutions compétentes en matière de réglementation et de contrôle", "@debut": "2010-01-23" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006124085", "@fin": "2999-01-01", "#text": "Livre VI : Les institutions en matière bancaire et financière", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006101336", "@fin": "2999-01-01", "#text": "Partie législative", "@debut": "2001-01-01" } ] }, "@cid": "LEGITEXT000006072026", "@nature": "CODE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Code monétaire et financier", "@debut": "2001-01-01", "@id_txt": "LEGITEXT000006072026", "@c_titre_court": "Code monétaire et financier" } ], "@date_publi": "2999-01-01", "@date_signature": "2999-01-01" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000021724341", "@fin": "2010-10-24", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2010-01-23", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000022962445", "@fin": "2013-01-30", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2010-10-24", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000027007982", "@fin": "2013-07-28", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2013-01-30", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000027782694", "@fin": "2014-02-22", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2013-07-28", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000028636092", "@fin": "2014-11-08", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2014-02-22", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000029722176", "@fin": "2015-08-22", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2014-11-08", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000031094890", "@fin": "2016-01-01", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2015-08-22", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000030438029", "@fin": "2016-12-11", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2016-01-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000033612160", "@fin": "2017-04-08", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2016-12-11", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000034386937", "@fin": "2018-01-03", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2017-04-08", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000035043654", "@fin": "2018-10-01", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2018-01-03", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000036923552", "@fin": "2020-12-29", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2018-10-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000042735662", "@fin": "2023-09-01", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2020-12-29", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000048029861", "@fin": "2024-10-18", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2023-09-01", "@origine": "LEGI" } }, { "@etat": "VIGUEUR", "LIEN_ART": { "@id": "LEGIARTI000050370493", "@fin": "2999-01-01", "@num": "L612-39", "@etat": "VIGUEUR", "@debut": "2024-10-18", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

Si l'une des personnes mentionnées au I de l'article L. 612-2, à l'exception de celles mentionnées aux 4° et 5° du A et au 4° du B, a enfreint une disposition législative ou réglementaire au respect de laquelle l'Autorité a pour mission de veiller ou des codes de conduite homologués applicables à sa profession, n'a pas remis à l'Autorité le programme de rétablissement demandé, n'a pas tenu compte d'une mise en garde, n'a pas déféré à une mise en demeure ou n'a pas respecté les conditions particulières posées ou les engagements pris à l'occasion d'une demande d'agrément, d'autorisation ou de dérogation prévue par les dispositions législatives ou réglementaires applicables, la commission des sanctions peut prononcer l'une ou plusieurs des sanctions disciplinaires suivantes, en fonction de la gravité du manquement :

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1° L'avertissement ;

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2° Le blâme ;

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3° L'interdiction d'effectuer certaines opérations et toutes autres limitations dans l'exercice de l'activité ;

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4° La suspension temporaire d'un ou plusieurs dirigeants ou, dans le cas d'un établissement de paiement exerçant des activités hybrides, des personnes déclarées responsables de la gestion des activités de services de paiement, avec ou sans nomination d'administrateur provisoire ;

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5° La démission d'office d'un ou plusieurs dirigeants ou, dans le cas d'un établissement de paiement exerçant des activités hybrides, des personnes déclarées responsables de la gestion des activités de services de paiement, avec ou sans nomination d'administrateur provisoire ;

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6° Le retrait partiel d'agrément ;

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7° Le retrait total d'agrément ou la radiation de la liste des personnes agréées, avec ou sans nomination d'un liquidateur.

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Les sanctions mentionnées aux 3° et 4° ne peuvent, dans leur durée, excéder dix ans.

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Lorsque la procédure de sanction engagée peut conduire à l'application de sanctions à des dirigeants, la formation de l'Autorité qui a décidé de l'engagement de la procédure indique expressément, dans la notification de griefs, que les sanctions mentionnées aux 4° et 5° sont susceptibles d'être prononcées à l'encontre des dirigeants qu'elle désigne, en précisant les éléments susceptibles de fonder leur responsabilité directe et personnelle dans les manquements ou infractions en cause, et la commission des sanctions veille au respect à leur égard du caractère contradictoire de la procédure.

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La commission des sanctions peut prononcer, soit à la place, soit en sus de ces sanctions, une sanction pécuniaire au plus égale à cent millions d'euros.

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La commission des sanctions peut assortir la sanction d'une astreinte, dont elle fixe le montant et la date d'effet. Un décret en Conseil d'Etat fixe la procédure applicable, le montant journalier maximum de l'astreinte et les modalités selon lesquelles, en cas d'inexécution totale ou partielle ou de retard d'exécution, il est procédé à la liquidation de l'astreinte.

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La commission des sanctions peut également prononcer les sanctions mentionnées au présent article s'il n'a pas été déféré aux injonctions prévues aux articles L. 511-41-3 et L. 522-15-1 et aux exigences complémentaires prévues au second alinéa de l'article L. 334-1 du code des assurances, au premier alinéa de l'article L. 510-1-1 du code de la mutualité ou au premier alinéa de l'article L. 931-18 du code de la sécurité sociale.

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La décision de la commission des sanctions est rendue publique dans les publications, journaux ou supports qu'elle désigne, dans un format proportionné à la faute commise et à la sanction infligée. Les frais sont supportés par les personnes sanctionnées. Toutefois, lorsque la publication risque de perturber gravement les marchés financiers ou de causer un préjudice disproportionné aux parties en cause, la décision de la commission peut prévoir qu'elle ne sera pas publiée.

" } }, "LEGIARTI000022962898": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L341-4", "ETAT": "VIGUEUR", "TYPE": "AUTONOME", "DATE_FIN": "2999-01-01", "DATE_DEBUT": "2010-10-24" } }, "META_COMMUN": { "ID": "LEGIARTI000022962898", "URL": "article/LEGI/ARTI/00/00/22/96/28/LEGIARTI000022962898.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "LEGIARTI000006508030", "@num": "11", "#text": "Loi n°66-1010 du 28 décembre 1966 - art. 11 (M)", "@sens": "source", "@cidtexte": "JORFTEXT000000880208", "@numtexte": "66-1010", "@typelien": "CONCORDANCE", "@naturetexte": "LOI", "@datesignatexte": "1966-12-28" }, { "@id": "LEGIARTI000006508031", "@num": "11", "#text": "Loi n°66-1010 du 28 décembre 1966 - art. 11 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000880208", "@numtexte": "66-1010", "@typelien": "CONCORDE", "@naturetexte": "LOI", "@datesignatexte": "1966-12-28" }, { "@id": "LEGITEXT000005630278", "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@nortexte": "ECOX0000098R", "@numtexte": "2000-1223", "@typelien": "CODIFICATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2000-12-14" }, { "@id": "LEGIARTI000006234766", "@num": "2", "#text": "Décret n°2004-1018 du 28 septembre 2004 - art. 2 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000804874", "@nortexte": "ECOT0420024D", "@numtexte": "2004-1018", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234768", "@num": "4", "#text": "Décret n°2004-1018 du 28 septembre 2004 - art. 4 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000804874", "@nortexte": "ECOT0420024D", "@numtexte": "2004-1018", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234769", "@num": "5", "#text": "Décret n°2004-1018 du 28 septembre 2004 - art. 5 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000804874", "@nortexte": "ECOT0420024D", "@numtexte": "2004-1018", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234776", "@num": "2", "#text": "Décret n°2004-1019 du 28 septembre 2004 - art. 2 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000805047", "@nortexte": "ECOT0420028D", "@numtexte": "2004-1019", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234779", "@num": "5", "#text": "Décret n°2004-1019 du 28 septembre 2004 - art. 5 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000805047", "@nortexte": "ECOT0420028D", "@numtexte": "2004-1019", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234780", "@num": "6", "#text": "Décret n°2004-1019 du 28 septembre 2004 - art. 6 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000805047", "@nortexte": "ECOT0420028D", "@numtexte": "2004-1019", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000025895084", "@num": "335-27", "#text": "Arrêté du 12 novembre 2004 - art. 335-27 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000006659273", "@num": "63", "#text": "Loi n°2006-1770 du 30 décembre 2006 - art. 63 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000458333", "@nortexte": "SOCX0600085L", "@numtexte": "2006-1770", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "2006-12-30" }, { "@id": "LEGIARTI000022942904", "@num": "36", "#text": "LOI n°2010-1249 du 22 octobre 2010 - art. 36", "@sens": "cible", "@cidtexte": "JORFTEXT000022940663", "@nortexte": "ECEX0928177L", "@numtexte": "2010-1249", "@typelien": "MODIFIE", "@naturetexte": "LOI", "@datesignatexte": "2010-10-22" }, { "@id": "LEGIARTI000043908174", "@num": "10", "#text": "ARRÊTÉ du 3 novembre 2014 - art. 10 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000029700770", "@nortexte": "FCPT1423259A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2014-11-03" }, { "@id": "LEGIARTI000041543015", "@num": "8", "#text": "Décret n°2020-94 du 5 février 2020 - art. 8 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000041539673", "@nortexte": "ECOT1928160D", "@numtexte": "2020-94", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2020-02-05" }, { "@id": "LEGIARTI000006640620", "@num": "D341-10", "#text": "Code monétaire et financier - art. 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D341-5 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006640684", "@num": "D341-6", "#text": "Code monétaire et financier - art. D341-6 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050372579", "@num": "L341-11", "#text": "Code monétaire et financier - art. L341-11 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000033232675", "@num": "L341-12", "#text": "Code monétaire et financier - art. L341-12 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006652290", "@num": "L341-16", "#text": "Code monétaire et financier - art. L341-16 (MMN)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000038612305", "@num": "L341-17", "#text": "Code monétaire et financier - art. L341-17 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006652212", "@num": "L341-3", "#text": "Code monétaire et financier - art. L341-3 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006652220", "@num": "L341-5", "#text": "Code monétaire et financier - art. L341-5 (M)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000021724526", "@num": "L341-6", "#text": "Code monétaire et financier - art. L341-6 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050366780", "@num": "L353-2", "#text": "Code monétaire et financier - art. L353-2 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000022962844", "@num": "L519-5", "#text": "Code monétaire et financier - art. L519-5 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000020871529", "@num": "L531-2", "#text": "Code monétaire et financier - art. L531-2 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006658393", "@num": "L562-1", "#text": "Code monétaire et financier - art. 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L754-15 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000006170422", "@fin": "2999-01-01", "#text": "Section 2 : Personnes habilitées à procéder au démarchage", "@debut": "2005-12-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006154463", "@fin": "2999-01-01", "#text": "Chapitre Ier : Démarchage bancaire ou financier", "@debut": "2005-12-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006139978", "@fin": "2999-01-01", "#text": "Titre IV : Démarchage, colportage et fourniture à distance de services financiers", "@debut": "2005-12-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006123907", "@fin": "2999-01-01", "#text": "Livre III : Les services", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006101336", "@fin": "2999-01-01", "#text": "Partie législative", "@debut": "2001-01-01" } ] }, "@cid": "LEGITEXT000006072026", "@nature": "CODE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Code monétaire et financier", "@debut": "2001-01-01", "@id_txt": "LEGITEXT000006072026", "@c_titre_court": "Code monétaire et financier" } ], "@date_publi": "2999-01-01", "@date_signature": "2999-01-01" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006652215", "@fin": "2003-08-02", "@num": "L341-4", "@etat": "MODIFIE", "@debut": "2001-01-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006652216", "@fin": "2005-05-07", "@num": "L341-4", "@etat": "MODIFIE", "@debut": "2003-08-02", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006652217", "@fin": "2005-12-01", "@num": "L341-4", "@etat": "MODIFIE", "@debut": "2005-05-07", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006652218", "@fin": "2007-09-30", "@num": "L341-4", "@etat": "MODIFIE", "@debut": "2005-12-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000006652219", "@fin": "2010-10-24", "@num": "L341-4", "@etat": "MODIFIE", "@debut": "2007-09-30", "@origine": "LEGI" } }, { "@etat": "VIGUEUR", "LIEN_ART": { "@id": "LEGIARTI000022962898", "@fin": "2999-01-01", "@num": "L341-4", "@etat": "VIGUEUR", "@debut": "2010-10-24", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

I. – Les personnes mentionnées à l'article L. 341-3 peuvent mandater des personnes physiques afin d'exercer pour leur compte une activité de démarchage bancaire ou financier. Les établissements et entreprises ou institutions mentionnés au 1° de cet article peuvent également mandater des personnes morales à cet effet. Dans ce cas, celles-ci peuvent à leur tour mandater des personnes physiques afin d'exercer cette activité pour leur compte.

II. – Dans tous les cas, le mandat est nominatif. Il mentionne la nature des produits et services qui en sont l'objet ainsi que les conditions dans lesquelles l'activité de démarchage peut être exercée. Sa durée est limitée à deux ans. Il peut être renouvelé.

Le démarcheur exerce une activité de démarchage bancaire et financier uniquement pour le compte de son mandant et dans la limite des services, opérations et produits pour lesquels celui-ci est agréé.

Une même personne physique ou morale peut recevoir des mandats émanant de plusieurs entreprises, institutions ou établissements mentionnés au 1° de l'article L. 341-3. Cette personne informe alors l'ensemble de ses mandants des mandats ainsi détenus.

III. – Les personnes mentionnées à l'article L. 341-3 et celles mandatées en application du I du présent article sont civilement responsables du fait des démarcheurs, agissant en cette qualité, auxquels elles ont délivré un mandat. Les personnes morales mentionnées à l'article L. 341-3 demeurent responsables du fait des salariés ou employés des personnes physiques ou des personnes morales qu'elles ont mandatées, dans la limite du mandat.

IV. – Les démarcheurs personnes physiques et les personnes physiques ayant le pouvoir de gérer ou d'administrer les personnes morales mandatées en application du I doivent remplir des conditions d'âge, d'honorabilité et de compétence professionnelle fixées par décret. Il en va de même des salariés ou employés des personnes mentionnées à l'article L. 341-3, lorsqu'ils exercent des activités de démarchage, et de ceux des personnes physiques ou des personnes morales mandatées en application du I du présent article.

V. – Les règles fixées aux II et IV ne s'appliquent pas aux personnes physiques participant à l'envoi de documents nominatifs, sous réserve qu'elles n'aient aucun contact personnalisé permettant d'influencer le choix de la personne démarchée. Dans ce cas, les personnes morales mentionnées à l'article L. 341-3 ou mandatées en application du I sont considérées comme exerçant directement l'activité de démarchage et sont tenues d'en appliquer les règles.

" } }, "LEGIARTI000022962903": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L341-3", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2013-01-30", "DATE_DEBUT": "2010-10-24" } }, "META_COMMUN": { "ID": "LEGIARTI000022962903", "URL": "article/LEGI/ARTI/00/00/22/96/29/LEGIARTI000022962903.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "NOTA": { "CONTENU": "

le 3° de l'article L. 353-2 du code monétaire et financier a été abrogé par l'article 7 II de l'ordonnance n° 2005-429 du 6 mai 2005.

Ne peuvent recourir ou se livrer à l'activité de démarchage bancaire ou financier, dans la limite des dispositions particulières qui les régissent, que :

1° Les établissements de crédit définis à l'article L. 511-1, les organismes mentionnés à l'article L. 518-1, les établissements de paiement, les entreprises d'investissement et les entreprises d'assurance définies respectivement à l'article L. 531-4 du présent code et à l'article L. 310-1 du code des assurances, les sociétés de capital-risque mentionnées à l'article 1er-1 de la loi n° 85-695 du 11 juillet 1985 portant diverses dispositions d'ordre économique et financier, en vue de la souscription des titres qu'elles émettent, les sociétés de gestion d'organismes de placement collectif définies à l'article L. 543-1 du présent code en vue de la souscription des titres financiers émis par les organismes de placement collectif dont elles assurent la gestion, ainsi que les établissements et entreprises équivalents agréés dans un autre Etat membre de la Communauté européenne et habilités à intervenir sur le territoire français ;

2° Les entreprises, dans le cadre des dispositifs relevant du livre III de la troisième partie du code du travail qu'elles proposent à leurs bénéficiaires, ainsi que les personnes morales qu'elles mandatent pour proposer un de ces dispositifs conclus par l'entreprise. Dans ce cas, et sans préjudice des règles d'information et de commercialisation auxquelles elles sont soumises, seules sont applicables à ces activités de démarchage les dispositions de l'article L. 341-9, du 3° de l'article L. 353-2 (1) et de l'article L. 353-4 du présent code ;

3° Les conseillers en investissements financiers définis à l'article L. 541-1 ;

4° Les intermédiaires en opérations de banque et en services de paiement mentionnés à l'article L. 519-1 ;
\n
5° Les agents liés mentionnés à l'article L. 545-1.

" } }, "LEGIARTI000027007623": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L341-3", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2014-01-01", "DATE_DEBUT": "2013-01-30" } }, "META_COMMUN": { "ID": "LEGIARTI000027007623", "URL": "article/LEGI/ARTI/00/00/27/00/76/LEGIARTI000027007623.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "NOTA": { "CONTENU": "

(1) Le 3° de l'article L. 353-2 du code monétaire et financier a été abrogé par l'article 7 II de l'ordonnance n° 2005-429 du 6 mai 2005.

Ne peuvent recourir ou se livrer à l'activité de démarchage bancaire ou financier, dans la limite des dispositions particulières qui les régissent, que :

1° Les établissements de crédit définis à l'article L. 511-1, les organismes mentionnés à l'article L. 518-1, les établissements de monnaie électronique, les établissements de paiement, les entreprises d'investissement et les entreprises d'assurance définies respectivement à l'article L. 531-4 du présent code et à l'article L. 310-1 du code des assurances, les sociétés de capital-risque mentionnées à l'article 1er-1 de la loi n° 85-695 du 11 juillet 1985 portant diverses dispositions d'ordre économique et financier, en vue de la souscription des titres qu'elles émettent, les sociétés de gestion d'organismes de placement collectif définies à l'article L. 543-1 du présent code en vue de la souscription des titres financiers émis par les organismes de placement collectif dont elles assurent la gestion, ainsi que les établissements et entreprises équivalents agréés dans un autre Etat membre de l'Union européenne et habilités à intervenir sur le territoire français ;

3° Les conseillers en investissements financiers définis à l'article L. 541-1 ;

4° Les intermédiaires en opérations de banque et en services de paiement mentionnés à l'article L. 519-1 ;

5° Les agents liés mentionnés à l'article L. 545-1.

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1° L'avertissement ;

2° Le blâme ;

3° L'interdiction d'effectuer certaines opérations et toutes autres limitations dans l'exercice de l'activité ;

4° La suspension temporaire d'un ou plusieurs dirigeants ou, dans le cas d'un établissement de paiement ou d'un établissement de monnaie électronique exerçant des activités hybrides, des personnes déclarées responsables, respectivement, de la gestion des activités de services de paiement ou des activités d'émission et de gestion de monnaie électronique, avec ou sans nomination d'administrateur provisoire ;

5° La démission d'office d'un ou plusieurs dirigeants ou, dans le cas d'un établissement de paiement ou d'un établissement de monnaie électronique exerçant des activités hybrides, des personnes déclarées responsables, respectivement, de la gestion des activités de services de paiement ou des activités d'émission et de gestion de monnaie électronique, avec ou sans nomination d'administrateur provisoire ;

6° Le retrait partiel d'agrément ;

7° Le retrait total d'agrément ou la radiation de la liste des personnes agréées, avec ou sans nomination d'un liquidateur.

Les sanctions mentionnées aux 3° et 4° ne peuvent, dans leur durée, excéder dix ans.

La commission des sanctions peut prononcer, soit à la place, soit en sus de ces sanctions, une sanction pécuniaire au plus égale à cent millions d'euros.

La commission des sanctions peut également prononcer les sanctions mentionnées au présent article s'il n'a pas été déféré aux injonctions prévues aux articles L. 511-41-3, L. 522-15-1 et L. 526-29 et aux exigences complémentaires prévues au second alinéa de l'article L. 334-1 du code des assurances, au premier alinéa de l'article L. 510-1-1 du code de la mutualité ou au premier alinéa de l'article L. 931-18 du code de la sécurité sociale.

" } }, "LEGIARTI000027643164": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L341-3", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2014-10-01", "DATE_DEBUT": "2014-01-01" } }, "META_COMMUN": { "ID": "LEGIARTI000027643164", "URL": "article/LEGI/ARTI/00/00/27/64/31/LEGIARTI000027643164.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "NOTA": { "CONTENU": "

(1) Le 3° de l'article L. 353-2 du code monétaire et financier a été abrogé par l'article 7 II de l'ordonnance n° 2005-429 du 6 mai 2005.

\n
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Ne peuvent recourir ou se livrer à l'activité de démarchage bancaire ou financier, dans la limite des dispositions particulières qui les régissent, que :

1° Les établissements de crédit ou les sociétés de financement définis à l'article L. 511-1, les organismes mentionnés à l'article L. 518-1, les établissements de monnaie électronique, les établissements de paiement, les entreprises d'investissement et les entreprises d'assurance définies respectivement à l'article L. 531-4 du présent code et à l'article L. 310-1 du code des assurances, les sociétés de capital-risque mentionnées à l'article 1er-1 de la loi n° 85-695 du 11 juillet 1985 portant diverses dispositions d'ordre économique et financier, en vue de la souscription des titres qu'elles émettent, les sociétés de gestion d'organismes de placement collectif définies à l'article L. 543-1 du présent code en vue de la souscription des titres financiers émis par les organismes de placement collectif dont elles assurent la gestion, ainsi que les établissements et entreprises équivalents agréés dans un autre Etat membre de l'Union européenne et habilités à intervenir sur le territoire français ;

3° Les conseillers en investissements financiers définis à l'article L. 541-1 ;

4° Les intermédiaires en opérations de banque et en services de paiement mentionnés à l'article L. 519-1 ;

5° Les agents liés mentionnés à l'article L. 545-1.

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Un membre du collège est convoqué à l'audience. Il y assiste sans voix délibérative. Il peut être assisté ou représenté par les services de l'Autorité des marchés financiers. Il peut présenter des observations au soutien des griefs notifiés et proposer une sanction.

La commission des sanctions peut entendre tout agent des services de l'autorité.

En cas d'urgence, le collège peut suspendre d'activité les personnes mentionnées aux a et b du II contre lesquelles des procédures de sanction sont engagées.

Si le collège transmet au procureur de la République le rapport mentionné au premier alinéa, le collège peut décider de rendre publique la transmission.

II.-La commission des sanctions peut, après une procédure contradictoire, prononcer une sanction à l'encontre des personnes suivantes :

a) Les personnes mentionnées aux 1° à 8° et 11° à 17° du II de l'article L. 621-9, au titre de tout manquement à leurs obligations professionnelles définies par les règlements européens, les lois, règlements et règles professionnelles approuvées par l'Autorité des marchés financiers en vigueur, sous réserve des dispositions de l'article L. 612-39 ;

b) Les personnes physiques placées sous l'autorité ou agissant pour le compte de l'une des personnes mentionnées aux 1° à 8° et 11° à 17° du II de l'article L. 621-9 au titre de tout manquement à leurs obligations professionnelles définies par les règlements européens, les lois, règlements et règles professionnelles approuvées par l'Autorité des marchés financiers en vigueur, sous réserve des dispositions de l'article L. 612-39 ;

c) Toute personne qui, sur le territoire français ou à l'étranger, s'est livrée ou a tenté de se livrer à une opération d'initié, à une manipulation de cours, à la diffusion d'une fausse information ou s'est livrée à tout autre manquement mentionné au premier alinéa du I de l'article L. 621-14, dès lors que ces actes concernent :

-un instrument financier lié à un ou plusieurs instruments mentionnés à l'alinéa précédent ;

-un contrat commercial relatif à des marchandises et lié à un ou plusieurs instruments mentionnés aux alinéas précédents, dans les conditions déterminées par le règlement général de l'Autorité des marchés financiers ;

-un instrument financier négocié sur un système multilatéral de négociation, admis à la négociation sur un tel marché ou pour lequel une demande d'admission à la négociation sur un tel marché a été présentée ;

-un indice tel que défini à l'article L. 465-2-1 ;

d) Toute personne qui, sur le territoire français, s'est livrée ou a tenté de se livrer à une opération d'initié, à une manipulation de cours, à la diffusion d'une fausse information ou s'est livrée à tout autre manquement mentionné au dernier alinéa du I de l'article L. 621-14, dès lors que ces actes concernent :

-un instrument financier lié à un ou plusieurs instruments mentionnés à l'alinéa précédent ;

-un indice tel que défini à l'article L. 465-2-1 ;

f) Toute personne qui, dans le cadre d'une enquête effectuée en application du I de l'article L. 621-9, sur demande des enquêteurs et sous réserve de la préservation d'un secret légalement protégé et opposable à l'Autorité des marchés financiers, refuse de donner accès à un document, quel qu'en soit le support, et d'en fournir une copie, refuse de communiquer des informations ou de répondre à une convocation, ou refuse de donner accès à des locaux professionnels ;

g) Toute autre personne au titre de manquements aux obligations résultant des règlements européens entrant dans le champ de compétence de l'Autorité des marchés financiers.

III.-Les sanctions applicables sont :

a) Pour les personnes mentionnées aux 1° à 8°, 11°, 12°, 15° à 17° du II de l'article L. 621-9, l'avertissement, le blâme, l'interdiction à titre temporaire ou définitif de l'exercice de tout ou partie des services fournis, la radiation du registre mentionné à l'article L. 546-1 ; la commission des sanctions peut prononcer soit à la place, soit en sus de ces sanctions une sanction pécuniaire dont le montant ne peut être supérieur à 100 millions d'euros ou au décuple du montant des profits éventuellement réalisés ; les sommes sont versées au fonds de garantie auquel est affiliée la personne sanctionnée ou, à défaut, au Trésor public ;

b) Pour les personnes physiques placées sous l'autorité ou agissant pour le compte de l'une des personnes mentionnées aux 1° à 8°, 11°, 12°, 15° à 17° du II de l'article L. 621-9, l'avertissement, le blâme, le retrait temporaire ou définitif de la carte professionnelle, l'interdiction à titre temporaire ou définitif de l'exercice de tout ou partie des activités ; la commission des sanctions peut prononcer soit à la place, soit en sus de ces sanctions une sanction pécuniaire dont le montant ne peut être supérieur à 15 millions d'euros ou au décuple du montant des profits éventuellement réalisés en cas de pratiques mentionnées aux c à g du II ou à 300 000 euros ou au quintuple des profits éventuellement réalisés dans les autres cas ; les sommes sont versées au fonds de garantie auquel est affiliée la personne morale sous l'autorité ou pour le compte de qui agit la personne sanctionnée ou, à défaut, au Trésor public ;

c) Pour les personnes autres que l'une des personnes mentionnées au II de l'article L. 621-9, auteurs des faits mentionnés aux c à g du II, une sanction pécuniaire dont le montant ne peut être supérieur à 100 millions d'euros ou au décuple du montant des profits éventuellement réalisés ; les sommes sont versées au Trésor public.

Le montant de la sanction doit être fixé en fonction de la gravité des manquements commis et en relation avec les avantages ou les profits éventuellement tirés de ces manquements.

IV bis.-Les séances de la commission des sanctions sont publiques.

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Si l'une des personnes mentionnées au I de l'article L. 612-2, à l'exception de celles mentionnées aux 4° et 5° du A et au 4° du B, a enfreint une disposition européenne, législative ou réglementaire au respect de laquelle l'Autorité a pour mission de veiller ou des codes de conduite homologués applicables à sa profession, n'a pas remis à l'Autorité le programme de rétablissement demandé ou le programme de formation mentionné au V de l'article L. 612-23-1, n'a pas tenu compte d'une mise en garde, n'a pas déféré à une mise en demeure ou n'a pas respecté les conditions particulières posées ou les engagements pris à l'occasion d'une demande d'agrément, d'autorisation ou de dérogation prévue par les dispositions législatives ou réglementaires applicables, la commission des sanctions peut prononcer l'une ou plusieurs des sanctions disciplinaires suivantes, en fonction de la gravité du manquement :

1° L'avertissement ;

2° Le blâme ;

3° L'interdiction d'effectuer certaines opérations et toutes autres limitations dans l'exercice de l'activité ;

4° La suspension temporaire d'un ou plusieurs dirigeants ou de toute autre personne mentionnée à l'article L. 612-23-1 ou, dans le cas d'un établissement de paiement ou d'un établissement de monnaie électronique exerçant des activités hybrides, des personnes déclarées responsables, respectivement, de la gestion des activités de services de paiement ou des activités d'émission et de gestion de monnaie électronique, avec ou sans nomination d'administrateur provisoire ;

5° La démission d'office d'un ou plusieurs dirigeants ou de toute autre personne mentionnée à l'article L. 612-23-1 ou, dans le cas d'un établissement de paiement ou d'un établissement de monnaie électronique exerçant des activités hybrides, des personnes déclarées responsables, respectivement, de la gestion des activités de services de paiement ou des activités d'émission et de gestion de monnaie électronique, avec ou sans nomination d'administrateur provisoire ;

6° Le retrait partiel d'agrément ;

7° Le retrait total d'agrément ou la radiation de la liste des personnes agréées, avec ou sans nomination d'un liquidateur.

Les sanctions mentionnées aux 3° et 4° ne peuvent, dans leur durée, excéder dix ans.

La commission des sanctions peut prononcer, soit à la place, soit en sus de ces sanctions, une sanction pécuniaire au plus égale à cent millions d'euros.

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Sous réserve des dispositions de l'article L. 612-40, si l'une des personnes mentionnées au I de l'article L. 612-2, à l'exception de celles mentionnées aux 4 bis, 5° et 11° du A et au 4° du B, a enfreint une disposition européenne, législative ou réglementaire au respect de laquelle l'Autorité a pour mission de veiller ou des codes de conduite homologués applicables à sa profession, n'a pas remis à l'Autorité le programme de rétablissement demandé ou le programme de formation mentionné au V de l'article L. 612-23-1, n'a pas tenu compte d'une mise en garde, n'a pas déféré à une mise en demeure ou n'a pas respecté les conditions particulières posées ou les engagements pris à l'occasion d'une demande d'agrément, d'autorisation ou de dérogation prévue par les dispositions législatives ou réglementaires applicables, la commission des sanctions peut prononcer l'une ou plusieurs des sanctions disciplinaires suivantes, en fonction de la gravité du manquement :

1° L'avertissement ;

2° Le blâme ;

3° L'interdiction d'effectuer certaines opérations et toutes autres limitations dans l'exercice de l'activité ;

6° Le retrait partiel d'agrément ;

7° Le retrait total d'agrément ou la radiation de la liste des personnes agréées, avec ou sans nomination d'un liquidateur.

Les sanctions mentionnées aux 3° et 4° ne peuvent, dans leur durée, excéder dix ans.

La commission des sanctions peut prononcer, soit à la place, soit en sus de ces sanctions, une sanction pécuniaire au plus égale à cent millions d'euros.

" } }, "LEGIARTI000028636235": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L621-15", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2015-12-05", "DATE_DEBUT": "2014-02-22" } }, "META_COMMUN": { "ID": "LEGIARTI000028636235", "URL": "article/LEGI/ARTI/00/00/28/63/62/LEGIARTI000028636235.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "NOTA": { "CONTENU": "

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] }, "BLOC_TEXTUEL": { "CONTENU": "

La commission des sanctions peut entendre tout agent des services de l'autorité.

En cas d'urgence, le collège peut suspendre d'activité les personnes mentionnées aux a et b du II contre lesquelles des procédures de sanction sont engagées.

Si le collège transmet au procureur de la République le rapport mentionné au premier alinéa, le collège peut décider de rendre publique la transmission.

II.-La commission des sanctions peut, après une procédure contradictoire, prononcer une sanction à l'encontre des personnes suivantes :

b) Les personnes physiques placées sous l'autorité ou agissant pour le compte de l'une des personnes mentionnées aux 1° à 8° et 11° à 17° du II de l'article L. 621-9 au titre de tout manquement à leurs obligations professionnelles définies par les règlements européens, les lois, règlements et règles professionnelles approuvées par l'Autorité des marchés financiers en vigueur, sous réserve des dispositions des articles L. 612-39 et L. 612-40 ;

-un instrument financier lié à un ou plusieurs instruments mentionnés à l'alinéa précédent ;

-un indice tel que défini à l'article L. 465-2-1 ;

-un instrument financier lié à un ou plusieurs instruments mentionnés à l'alinéa précédent ;

-un indice tel que défini à l'article L. 465-2-1 ;

g) Toute autre personne au titre de manquements aux obligations résultant des règlements européens entrant dans le champ de compétence de l'Autorité des marchés financiers.

III.-Les sanctions applicables sont :

a) Pour les personnes mentionnées aux 1° à 8°, 11°, 12°, 15° à 17° du II de l'article L. 621-9, l'avertissement, le blâme, l'interdiction à titre temporaire ou définitif de l'exercice de tout ou partie des services fournis, la radiation du registre mentionné à l'article L. 546-1 ; la commission des sanctions peut prononcer soit à la place, soit en sus de ces sanctions une sanction pécuniaire dont le montant ne peut être supérieur à 100 millions d'euros ou au décuple du montant des profits éventuellement réalisés ; les sommes sont versées au fonds de garantie auquel est affiliée la personne sanctionnée ou, à défaut, au Trésor public ;

b) Pour les personnes physiques placées sous l'autorité ou agissant pour le compte de l'une des personnes mentionnées aux 1° à 8°, 11°, 12°, 15° à 17° du II de l'article L. 621-9, l'avertissement, le blâme, le retrait temporaire ou définitif de la carte professionnelle, l'interdiction à titre temporaire ou définitif de l'exercice de tout ou partie des activités ; la commission des sanctions peut prononcer soit à la place, soit en sus de ces sanctions une sanction pécuniaire dont le montant ne peut être supérieur à 15 millions d'euros ou au décuple du montant des profits éventuellement réalisés en cas de pratiques mentionnées aux c à g du II ou à 300 000 euros ou au quintuple des profits éventuellement réalisés dans les autres cas ; les sommes sont versées au fonds de garantie auquel est affiliée la personne morale sous l'autorité ou pour le compte de qui agit la personne sanctionnée ou, à défaut, au Trésor public ;

Le montant de la sanction doit être fixé en fonction de la gravité des manquements commis et en relation avec les avantages ou les profits éventuellement tirés de ces manquements.

IV bis.-Les séances de la commission des sanctions sont publiques.

" } }, "LEGIARTI000029025605": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L341-3", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2017-04-08", "DATE_DEBUT": "2014-10-01" } }, "META_COMMUN": { "ID": "LEGIARTI000029025605", "URL": "article/LEGI/ARTI/00/00/29/02/56/LEGIARTI000029025605.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "NOTA": { "CONTENU": "

(1) Le 3° de l'article L. 353-2 du code monétaire et financier a été abrogé par l'article 7 II de l'ordonnance n° 2005-429 du 6 mai 2005.

\n
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art. 2 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000441083", "@nortexte": "ECOT0420026A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234787", "@num": "3", "#text": "Arrêté du 28 septembre 2004 - art. 3 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000441083", "@nortexte": "ECOT0420026A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234766", "@num": "2", "#text": "Décret n°2004-1018 du 28 septembre 2004 - art. 2 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000804874", "@nortexte": "ECOT0420024D", "@numtexte": "2004-1018", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234768", "@num": "4", "#text": "Décret n°2004-1018 du 28 septembre 2004 - art. 4 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000804874", "@nortexte": "ECOT0420024D", "@numtexte": "2004-1018", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234769", "@num": "5", "#text": "Décret n°2004-1018 du 28 septembre 2004 - art. 5 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000804874", "@nortexte": "ECOT0420024D", "@numtexte": "2004-1018", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000025913771", "@num": "325-20", "#text": "Arrêté du 12 novembre 2004 - art. 325-20 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000027329714", "@num": "325-3", "#text": "Arrêté du 12 novembre 2004 - art. 325-3 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000037035215", "@num": "325-39", "#text": "Arrêté du 12 novembre 2004 - art. 325-39 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000046130022", "@num": "325-5", "#text": "Arrêté du 12 novembre 2004 - 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Ne peuvent recourir ou se livrer à l'activité de démarchage bancaire ou financier, dans la limite des dispositions particulières qui les régissent, que :

3° Les conseillers en investissements financiers définis à l'article L. 541-1 ;

4° Les intermédiaires en opérations de banque et en services de paiement mentionnés à l'article L. 519-1 ;

5° Les agents liés mentionnés à l'article L. 545-1 ;

6° Les conseillers en investissements participatifs définis à l'article L. 547-1.

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Tout manquement par les conseillers en investissements financiers définis à l'article L. 541-1 ou par les conseillers en investissements participatifs mentionnés à l'article L. 547-1 aux lois, règlements et obligations professionnelles les concernant est passible des sanctions prononcées par la commission des sanctions selon les modalités prévues aux I, a et b du III, IV et V de l'article L. 621-15.

\n
Le montant de la sanction doit être fixé en fonction de la gravité des manquements commis et en relation avec les avantages ou les profits éventuellement tirés de ces manquements.

\n
\n
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1° L'avertissement ;

2° Le blâme ;

3° L'interdiction d'effectuer certaines opérations et toutes autres limitations dans l'exercice de l'activité ;

6° Le retrait partiel d'agrément ;

7° Le retrait total d'agrément ou la radiation de la liste des personnes agréées, avec ou sans nomination d'un liquidateur.

Les sanctions mentionnées aux 3° et 4° ne peuvent, dans leur durée, excéder dix ans.

Pour les établissements de crédit, la sanction prévue au 6° ne peut être prononcée que pour les services ne relevant pas de l'agrément délivré par la Banque centrale européenne. Pour ces mêmes établissements et pour les activités qui entrent dans le champ de l'agrément délivré par la Banque centrale européenne, les sanctions prévues au 6° et au 7° prennent la forme respectivement d'une interdiction partielle ou totale d'activité prononcée à titre conservatoire.
\n
Lorsque la commission des sanctions prononce l'interdiction totale d'activité d'un établissement de crédit, l'Autorité de contrôle prudentiel et de résolution propose à la Banque centrale européenne de prononcer le retrait de l'agrément. Dans le cas où la Banque centrale européenne ne prononce pas le retrait d'agrément, la commission des sanctions peut délibérer à nouveau et infliger une autre sanction parmi celles prévues au présent article.

La commission des sanctions peut prononcer, soit à la place, soit en sus de ces sanctions, une sanction pécuniaire au plus égale à cent millions d'euros.

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1° L'avertissement ;

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2° Le blâme ;

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3° L'interdiction d'effectuer certaines opérations et toutes autres limitations dans l'exercice de l'activité ;

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6° Le retrait partiel d'agrément ;

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7° Le retrait total d'agrément ou la radiation de la liste des personnes agréées, avec ou sans nomination d'un liquidateur.

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Les sanctions mentionnées aux 3° et 4° ne peuvent, dans leur durée, excéder dix ans.

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Lorsque la commission des sanctions prononce l'interdiction totale d'activité d'un établissement de crédit, l'Autorité de contrôle prudentiel et de résolution propose à la Banque centrale européenne de prononcer le retrait de l'agrément. Dans le cas où la Banque centrale européenne ne prononce pas le retrait d'agrément, la commission des sanctions peut délibérer à nouveau et infliger une autre sanction parmi celles prévues au présent article.

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La commission des sanctions peut prononcer, soit à la place, soit en sus de ces sanctions, une sanction pécuniaire au plus égale à cent millions d'euros. Lorsqu'un retrait d'agrément est prononcé au titre du présent article, la commission des sanctions peut annuler les certificats souscrits par la personne en cause en application de l'article L. 312-7.

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La commission des sanctions peut également prononcer les sanctions mentionnées au présent article s'il n'a pas été déféré aux injonctions prévues aux articles L. 511-41-3, L. 522-15-1 et L. 526-29 et aux exigences complémentaires prévues au deuxième alinéa de l'article L. 334-1 du code des assurances, ou au premier alinéa de l'article L. 352-3 du même code.

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L510-1-1", "@sens": "source", "@cidtexte": "LEGITEXT000006074067", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000021724345", "@fin": "2999-01-01", "#text": "Sous-section 2 : Liste des sanctions", "@debut": "2010-01-23" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000021724352", "@fin": "2999-01-01", "#text": "Section 7 : Pouvoir disciplinaire", "@debut": "2010-01-23" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006154718", "@fin": "2010-01-23", "#text": "Chapitre II : Comité des établissements de crédit et des entreprises d'investissement", "@debut": "2001-01-01" }, { "@id": "LEGISCTA000021724278", "@fin": "2013-07-28", "#text": "Chapitre II : L'Autorité de contrôle prudentiel", "@debut": "2010-01-23" }, { "@id": "LEGISCTA000027854161", "@fin": "2999-01-01", "#text": "Chapitre II : L'Autorité de contrôle prudentiel et de résolution", "@debut": "2013-07-28" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006140137", "@fin": "2009-11-01", "#text": "Titre Ier : Les institutions communes aux établissements de crédit et aux entreprises d'investissement", "@debut": "2001-01-01" }, { "@id": "LEGISCTA000020874234", "@fin": "2010-01-23", "#text": "Titre Ier : Les institutions communes aux établissements de crédit, aux établissements de paiement et aux entreprises d'investissement", "@debut": "2009-11-01" }, { "@id": "LEGISCTA000021724280", "@fin": "2999-01-01", "#text": "Titre Ier : Les institutions compétentes en matière de réglementation et de contrôle", "@debut": "2010-01-23" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006124085", "@fin": "2999-01-01", "#text": "Livre VI : Les institutions en matière bancaire et financière", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006101336", "@fin": "2999-01-01", "#text": "Partie législative", "@debut": "2001-01-01" } ] }, "@cid": "LEGITEXT000006072026", "@nature": "CODE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Code monétaire et financier", "@debut": "2001-01-01", "@id_txt": "LEGITEXT000006072026", "@c_titre_court": "Code monétaire et financier" } ], "@date_publi": "2999-01-01", "@date_signature": "2999-01-01" } }, "VERSIONS": { "VERSION": [ { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000021724341", "@fin": "2010-10-24", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2010-01-23", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000022962445", "@fin": "2013-01-30", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2010-10-24", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000027007982", "@fin": "2013-07-28", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2013-01-30", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000027782694", "@fin": "2014-02-22", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2013-07-28", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000028636092", "@fin": "2014-11-08", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2014-02-22", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000029722176", "@fin": "2015-08-22", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2014-11-08", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000031094890", "@fin": "2016-01-01", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2015-08-22", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000030438029", "@fin": "2016-12-11", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2016-01-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000033612160", "@fin": "2017-04-08", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2016-12-11", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000034386937", "@fin": "2018-01-03", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2017-04-08", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000035043654", "@fin": "2018-10-01", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2018-01-03", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000036923552", "@fin": "2020-12-29", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2018-10-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000042735662", "@fin": "2023-09-01", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2020-12-29", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000048029861", "@fin": "2024-10-18", "@num": "L612-39", "@etat": "MODIFIE", "@debut": "2023-09-01", "@origine": "LEGI" } }, { "@etat": "VIGUEUR", "LIEN_ART": { "@id": "LEGIARTI000050370493", "@fin": "2999-01-01", "@num": "L612-39", "@etat": "VIGUEUR", "@debut": "2024-10-18", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

\n
\n

1° L'avertissement ;

\n
\n

2° Le blâme ;

\n
\n

3° L'interdiction d'effectuer certaines opérations et toutes autres limitations dans l'exercice de l'activité ;

\n
\n

6° Le retrait partiel d'agrément ;

\n
\n

7° Le retrait total d'agrément ou la radiation de la liste des personnes agréées, avec ou sans nomination d'un liquidateur.

\n
\n

Les sanctions mentionnées aux 3° et 4° ne peuvent, dans leur durée, excéder dix ans.

\n
\n

" } }, "LEGIARTI000031564595": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L621-15", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2016-06-05", "DATE_DEBUT": "2015-12-05" } }, "META_COMMUN": { "ID": "LEGIARTI000031564595", "URL": "article/LEGI/ARTI/00/00/31/56/45/LEGIARTI000031564595.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "NOTA": { "CONTENU": "

" }, "LIENS": { "LIEN": [ { "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@typelien": "CODIFICATION" }, { "@id": "LEGIARTI000006738834", "@num": "17", "#text": "Décret n°96-880 du 8 octobre 1996 - art. 17 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000378759", "@nortexte": "ECOT9620035D", "@numtexte": "96-880", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "1996-10-08" }, { "@id": "LEGIARTI000006209248", "@num": "2", "#text": "Décret n°2002-371 du 14 mars 2002 - art. 2 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000771486", "@nortexte": "ECOT0220010D", "@numtexte": "2002-371", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2002-03-14" }, { "@id": "LEGIARTI000006209249", "@num": "3", "#text": "Décret n°2002-371 du 14 mars 2002 - art. 3 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000771486", "@nortexte": "ECOT0220010D", "@numtexte": "2002-371", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2002-03-14" }, { "@id": "LEGIARTI000022336015", "@num": "49", "#text": "Loi n°2003-706 du 1 août 2003 - art. 49 (VD)", "@sens": "cible", "@cidtexte": "JORFTEXT000000428977", "@nortexte": "ECOX0200186L", "@numtexte": "2003-706", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "2003-08-01" }, { "@id": "LEGIARTI000006744394", "@num": "10", "#text": "Décret n°2003-1109 du 21 novembre 2003 - art. 10 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000797295", "@nortexte": "ECOT0320019D", "@numtexte": "2003-1109", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2003-11-21" }, { "@id": "LEGIARTI000006234776", "@num": "2", "#text": "Décret n°2004-1019 du 28 septembre 2004 - art. 2 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000805047", "@nortexte": "ECOT0420028D", "@numtexte": "2004-1019", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-28" }, { "@id": "LEGIARTI000006234804", "@num": "8", "#text": "Décret n°2004-1023 du 29 septembre 2004 - art. 8 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000802392", "@nortexte": "ECOT0420033D", "@numtexte": "2004-1023", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2004-09-29" }, { "@id": "LEGIARTI000022440626", "@num": "143-5", "#text": "Arrêté du 12 octobre 2004 - 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art.", "@sens": "cible", "@cidtexte": "JORFTEXT000037146528", "@nortexte": "ECOT1816563A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2018-06-14" }, { "@id": "LEGIARTI000006229200", "@num": "L233-7", "#text": "Code de commerce - art. 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"@num": "L621-15", "@etat": "MODIFIE", "@debut": "2019-06-01", "@origine": "LEGI" } }, { "@etat": "MODIFIE_MORT_NE", "LIEN_ART": { "@id": "LEGIARTI000038283816", "@fin": "2019-05-24", "@num": "L621-15", "@etat": "MODIFIE_MORT_NE", "@debut": "2222-02-22", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000039261009", "@fin": "2021-12-24", "@num": "L621-15", "@etat": "MODIFIE", "@debut": "2019-10-23", "@origine": "LEGI" } }, { "@etat": "MODIFIE", "LIEN_ART": { "@id": "LEGIARTI000044564368", "@fin": "2023-03-11", "@num": "L621-15", "@etat": "MODIFIE", "@debut": "2021-12-24", "@origine": "LEGI" } }, { "@etat": "ABROGE_DIFF", "LIEN_ART": { "@id": "LEGIARTI000047288219", "@fin": "2024-12-30", "@num": "L621-15", "@etat": "ABROGE_DIFF", "@debut": "2023-03-11", "@origine": "LEGI" } }, { "@etat": "VIGUEUR_DIFF", "LIEN_ART": { "@id": "LEGIARTI000050370712", "@fin": "2999-01-01", "@num": "L621-15", "@etat": "VIGUEUR_DIFF", "@debut": "2024-12-30", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

La commission des sanctions peut entendre tout agent des services de l'autorité.

En cas d'urgence, le collège peut suspendre d'activité les personnes mentionnées aux a et b du II contre lesquelles des procédures de sanction sont engagées.

Si le collège transmet au procureur de la République le rapport mentionné au premier alinéa, le collège peut décider de rendre publique la transmission.

II.-La commission des sanctions peut, après une procédure contradictoire, prononcer une sanction à l'encontre des personnes suivantes :

b) Les personnes physiques placées sous l'autorité ou agissant pour le compte de l'une des personnes mentionnées aux 1° à 8° et 11° à 17° du II de l'article L. 621-9 au titre de tout manquement à leurs obligations professionnelles définies par les règlements européens, les lois, règlements et règles professionnelles approuvées par l'Autorité des marchés financiers en vigueur, sous réserve des dispositions des articles L. 612-39 et L. 612-40 ;

-un instrument financier lié à un ou plusieurs instruments mentionnés à l'alinéa précédent ;

-un indice tel que défini à l'article L. 465-2-1 ;

-un instrument financier lié à un ou plusieurs instruments mentionnés à l'alinéa précédent ;

-un indice tel que défini à l'article L. 465-2-1 ;

g) Toute autre personne au titre de manquements aux obligations résultant des règlements européens entrant dans le champ de compétence de l'Autorité des marchés financiers.

III.-Les sanctions applicables sont :

a) Pour les personnes mentionnées aux 1° à 8°, 11°, 12°, 15° à 17° du II de l'article L. 621-9, l'avertissement, le blâme, l'interdiction à titre temporaire ou définitif de l'exercice de tout ou partie des services fournis, la radiation du registre mentionné à l'article L. 546-1 ; la commission des sanctions peut prononcer soit à la place, soit en sus de ces sanctions une sanction pécuniaire dont le montant ne peut être supérieur à 100 millions d'euros ou au décuple du montant des profits éventuellement réalisés ; les sommes sont versées au fonds de garantie auquel est affiliée la personne sanctionnée ou, à défaut, au Trésor public ;

b) Pour les personnes physiques placées sous l'autorité ou agissant pour le compte de l'une des personnes mentionnées aux 1° à 8°, 11°, 12°, 15° à 17° du II de l'article L. 621-9, l'avertissement, le blâme, le retrait temporaire ou définitif de la carte professionnelle, l'interdiction à titre temporaire ou définitif de l'exercice de tout ou partie des activités ; la commission des sanctions peut prononcer soit à la place, soit en sus de ces sanctions une sanction pécuniaire dont le montant ne peut être supérieur à 15 millions d'euros ou au décuple du montant des profits éventuellement réalisés en cas de pratiques mentionnées aux c à g du II ou à 300 000 euros ou au quintuple des profits éventuellement réalisés dans les autres cas ; les sommes sont versées au fonds de garantie auquel est affiliée la personne morale sous l'autorité ou pour le compte de qui agit la personne sanctionnée ou, à défaut, au Trésor public ;

Le montant de la sanction doit être fixé en fonction de la gravité des manquements commis et en relation avec les avantages ou les profits éventuellement tirés de ces manquements.

III bis.-En cas de manquement par toute personne aux obligations prévues aux articles L. 233-7 et L. 233-8-II du code de commerce et L. 451-1-2 du présent code, peut être prononcée une sanction pécuniaire dont le montant ne peut être supérieur à 100 millions d'euros ou à 5 % du chiffre d'affaires annuel total déterminé sur la base des comptes annuels du dernier exercice approuvé par l'organe de direction. Lorsque la personne morale est une entreprise mère ou une filiale d'une entreprise mère tenue d'établir des comptes consolidés, le chiffre d'affaires total à prendre en considération est le chiffre d'affaires annuel total, tel qu'il ressort des derniers comptes annuels consolidés disponibles approuvés par l'assemblée générale de la société mère.

Le montant de la sanction pécuniaire peut également s'élever au décuple de l'avantage retiré du manquement ou des pertes qu'il a permis d'éviter, si ceux-ci peuvent être déterminés.

Les sommes sont versées au Trésor public.

III ter.-Dans la mise en œuvre des sanctions mentionnées au III bis, il est tenu compte notamment :

\n
\n

-de la gravité et de la durée du manquement ;

-de la qualité et du degré d'implication de la personne en cause ;

-de la situation et de la capacité financières de la personne en cause, au vu notamment de son patrimoine et, s'agissant d'une personne physique de ses revenus annuels, s'agissant d'une personne morale de son chiffre d'affaires total ;

-de l'importance soit des gains ou avantages obtenus, soit des pertes ou coûts évités par la personne en cause, dans la mesure où ils peuvent être déterminés ;

-des pertes subies par des tiers du fait du manquement, dans la mesure où elles peuvent être déterminées ;

-du degré de coopération avec l'Autorité des marchés financiers dont a fait preuve la personne en cause ;

-des manquements commis précédemment par la personne en cause ;

-de toute circonstance propre à la personne en cause, notamment des mesures prises par elle pour remédier aux dysfonctionnements constatés, provoqués par le manquement qui lui est imputable et le cas échéant pour réparer les préjudices causés aux tiers, ainsi que pour éviter toute réitération du manquement.

\n
\n

III quater.-Dans les conditions fixées par décret en Conseil d'Etat, la récusation d'un membre de la commission des sanctions est prononcée à la demande de la personne mise en cause s'il existe une raison sérieuse de mettre en doute l'impartialité de ce membre.

IV bis.-Les séances de la commission des sanctions sont publiques.

S'agissant des décisions de sanctions prises en application du III bis ci-dessus, la commission des sanctions peut décider de reporter la publication d'une décision ou de publier cette dernière sous une forme anonymisée dans l'une ou l'autre des circonstances suivantes :

a) Lorsque la publication de la décision est susceptible de causer à la personne en cause un préjudice grave et disproportionné, notamment, dans le cas d'une sanction infligée à une personne physique, lorsque la publication inclut des données personnelles ;

b) Lorsque la publication serait de nature à perturber gravement la stabilité du système financier, de même que le déroulement d'une enquête ou d'un contrôle en cours.

Lorsqu'une décision de sanction prise en application du III bis fait l'objet d'un recours, l'Autorité des marchés financiers publie immédiatement cette information sur son site internet.

\n
" } }, "LEGIARTI000032470036": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L621-15", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2016-12-11", "DATE_DEBUT": "2016-10-01" } }, "META_COMMUN": { "ID": "LEGIARTI000032470036", "URL": "article/LEGI/ARTI/00/00/32/47/00/LEGIARTI000032470036.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "NOTA": { "CONTENU": "

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Sous réserve de l'article L. 465-3-6, s'il décide l'ouverture d'une procédure de sanction, il notifie les griefs aux personnes concernées. Il transmet la notification des griefs à la commission des sanctions, qui désigne un rapporteur parmi ses membres. La commission des sanctions ne peut être saisie de faits remontant à plus de trois ans s'il n'a été fait pendant ce délai aucun acte tendant à leur recherche, à leur constatation ou à leur sanction.

La commission des sanctions peut entendre tout agent des services de l'autorité.

En cas d'urgence, le collège peut suspendre d'activité les personnes mentionnées aux a et b du II contre lesquelles des procédures de sanction sont engagées.

Si le collège transmet au procureur de la République le rapport mentionné au premier alinéa, le collège peut décider de rendre publique la transmission.

II.-La commission des sanctions peut, après une procédure contradictoire, prononcer une sanction à l'encontre des personnes suivantes :

b) Les personnes physiques placées sous l'autorité ou agissant pour le compte de l'une des personnes mentionnées aux 1° à 8° et 11° à 17° du II de l'article L. 621-9 au titre de tout manquement à leurs obligations professionnelles définies par les règlements européens, les lois, règlements et règles professionnelles approuvées par l'Autorité des marchés financiers en vigueur, sous réserve des dispositions des articles L. 612-39 et L. 612-40 ;

c) Toute personne qui, sur le territoire français ou à l'étranger :

1° S'est livrée ou a tenté de se livrer à une opération d'initié ou à une manipulation de marché, au sens des articles 8 ou 12 du règlement (UE) n° 596/2014 du Parlement européen et du Conseil du 16 avril 2014 sur les abus de marché (règlement relatif aux abus de marché) et abrogeant la directive 2003/6/CE du Parlement européen et du Conseil et les directives 2003/124/CE, 2003/125/CE et 2004/72/CE de la Commission ;

2° A recommandé à une autre personne d'effectuer une opération d'initié, au sens de l'article 8 du même règlement, ou a incité une autre personne à effectuer une telle opération ;

3° S'est livrée à une divulgation illicite d'informations privilégiées, au sens de l'article 10 dudit règlement ;

4° Ou s'est livrée à tout autre manquement mentionné au premier alinéa du II de l'article L. 621-14,

dès lors que ces actes concernent :

- un instrument financier ou une unité mentionnée à l'article L. 229-7 du code de l'environnement, négociés sur un marché réglementé ou un système multilatéral de négociation situés sur le territoire français ou pour lesquels une demande d'admission à la négociation sur de tels marchés a été présentée ;

- un instrument financier ou une unité mentionnée au même article L. 229-7 autres que ceux mentionnés au septième alinéa du présent c dont le cours ou la valeur dépend du cours ou de la valeur d'un instrument financier ou d'une unité mentionné au même septième alinéa ou dont le cours ou la valeur a un effet sur le cours ou la valeur d'un instrument financier ou une unité mentionné audit septième alinéa ;

- un contrat au comptant sur matières premières au sens du 1° du II de l'article L. 465-3-4 du présent code lorsque l'opération, le comportement ou la diffusion est de nature ou est destiné à avoir un effet sur le cours d'un instrument financier ou d'une unité mentionné aux septième ou huitième alinéas du présent c ;

- un indice mentionné à l'article L. 465-3-3 ;

d) Toute personne qui, sur le territoire français :

2° A recommandé à une autre personne d'effectuer une opération d'initié, au sens de l'article 8 du même règlement, ou a incité une autre personne à effectuer une telle opération ;

3° S'est livrée à une divulgation illicite d'informations privilégiées, au sens de l'article 10 dudit règlement ;

4° Ou s'est livrée à tout autre manquement mentionné au premier alinéa du II de l'article L. 621-14,

dès lors que ces actes concernent :

- un instrument financier ou une unité mentionnée à l'article L. 229-7 du code de l'environnement, négociés sur un marché réglementé ou un système multilatéral de négociation d'un autre Etat membre de l'Union européenne ou partie à l'Espace économique européen ou pour lesquels une demande d'admission à la négociation sur de tels marchés a été présentée ;

- un instrument financier ou une unité mentionnée au même article L. 229-7 autres que ceux mentionnés au septième alinéa du présent d dont le cours ou la valeur dépend du cours ou de la valeur d'un instrument financier ou d'une unité mentionné au même septième alinéa ou dont le cours ou la valeur a un effet sur le cours ou la valeur d'un instrument financier ou une unité mentionnés audit septième alinéa ;

- un contrat au comptant sur matières premières au sens du 1° du II de l'article L. 465-3-4 du présent code lorsque l'opération, le comportement ou la diffusion est de nature ou est destiné à avoir un effet sur le cours d'un instrument financier ou d'une unité mentionnés aux septième ou huitième alinéas du présent d ;

- un instrument financier ou une unité mentionnée à l'article L. 229-7 du code de l'environnement dont le cours ou la valeur a un effet sur le cours ou la valeur d'un contrat au comptant sur matières premières mentionné au 2° du II de l'article L. 465-3-4 du présent code, lorsque l'opération, le comportement ou la diffusion a ou est susceptible d'avoir un effet sur le cours ou la valeur d'un contrat au comptant sur matières premières ;

- un indice mentionné à l'article L. 465-3-3 ;

e) Toute personne qui, sur le territoire français ou étranger, s'est livrée ou a tenté de se livrer à la diffusion d'une fausse information lors d'une opération d'offre au public de titres financiers ou s'est livrée à tout manquement mentionné au premier alinéa du II de l'article L. 621-14 lors d'une offre de minibons mentionnés à l'article L. 223-6 ;

g) Toute autre personne au titre de manquements aux obligations résultant des règlements européens entrant dans le champ de compétence de l'Autorité des marchés financiers.

III.-Les sanctions applicables sont :

a) Pour les personnes mentionnées aux 1° à 8°, 11°, 12°, 15° à 17° du II de l'article L. 621-9, l'avertissement, le blâme, l'interdiction à titre temporaire ou définitif de l'exercice de tout ou partie des services fournis, la radiation du registre mentionné à l'article L. 546-1 ; la commission des sanctions peut prononcer soit à la place, soit en sus de ces sanctions une sanction pécuniaire dont le montant ne peut être supérieur à 100 millions d'euros ou au décuple du montant des profits éventuellement réalisés ; les sommes sont versées au fonds de garantie auquel est affiliée la personne sanctionnée ou, à défaut, au Trésor public ;

b) Pour les personnes physiques placées sous l'autorité ou agissant pour le compte de l'une des personnes mentionnées aux 1° à 8°, 11°, 12°, 15° à 17° du II de l'article L. 621-9, l'avertissement, le blâme, le retrait temporaire ou définitif de la carte professionnelle, l'interdiction à titre temporaire ou définitif de l'exercice de tout ou partie des activités ; la commission des sanctions peut prononcer soit à la place, soit en sus de ces sanctions une sanction pécuniaire dont le montant ne peut être supérieur à 15 millions d'euros ou au décuple du montant des profits éventuellement réalisés en cas de pratiques mentionnées aux c à g du II ou à 300 000 euros ou au quintuple des profits éventuellement réalisés dans les autres cas ; les sommes sont versées au fonds de garantie auquel est affiliée la personne morale sous l'autorité ou pour le compte de qui agit la personne sanctionnée ou, à défaut, au Trésor public ;

Les sanctions pécuniaires prononcées en application du présent III peuvent faire l'objet d'une majoration, dans la limite de 10% de leur montant, mise à la charge de la personne sanctionnée et destinée à financer l'aide aux victimes.

Le montant de la sanction et le montant de la majoration sont fixés en fonction de la gravité des manquements commis et en fonction des avantages ou des profits éventuellement tirés de ces manquements.

Le montant de la sanction pécuniaire peut également s'élever au décuple de l'avantage retiré du manquement ou des pertes qu'il a permis d'éviter, si ceux-ci peuvent être déterminés.

Les sommes sont versées au Trésor public.

III ter.-Dans la mise en œuvre des sanctions mentionnées au III bis, il est tenu compte notamment :

- de la gravité et de la durée du manquement ;

- de la qualité et du degré d'implication de la personne en cause ;

- de la situation et de la capacité financières de la personne en cause, au vu notamment de son patrimoine et, s'agissant d'une personne physique de ses revenus annuels, s'agissant d'une personne morale de son chiffre d'affaires total ;

- de l'importance soit des gains ou avantages obtenus, soit des pertes ou coûts évités par la personne en cause, dans la mesure où ils peuvent être déterminés ;

- des pertes subies par des tiers du fait du manquement, dans la mesure où elles peuvent être déterminées ;

- du degré de coopération avec l'Autorité des marchés financiers dont a fait preuve la personne en cause ;

- des manquements commis précédemment par la personne en cause ;

- de toute circonstance propre à la personne en cause, notamment des mesures prises par elle pour remédier aux dysfonctionnements constatés, provoqués par le manquement qui lui est imputable et le cas échéant pour réparer les préjudices causés aux tiers, ainsi que pour éviter toute réitération du manquement.

IV bis.-Les séances de la commission des sanctions sont publiques.

b) Lorsque la publication serait de nature à perturber gravement la stabilité du système financier, de même que le déroulement d'une enquête ou d'un contrôle en cours.

Lorsqu'une décision de sanction prise en application du III bis fait l'objet d'un recours, l'Autorité des marchés financiers publie immédiatement cette information sur son site internet.

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art. 313-6 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000025932739", "@num": "313-74", "#text": "Arrêté du 12 novembre 2004 - art. 313-74 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000025932747", "@num": "313-75", "#text": "Arrêté du 12 novembre 2004 - art. 313-75 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036893926", "@num": "318-18", "#text": "Arrêté du 12 novembre 2004 - art. 318-18 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036893986", "@num": "318-4", "#text": "Arrêté du 12 novembre 2004 - art. 318-4 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036894433", "@num": "318-50", "#text": "Arrêté du 12 novembre 2004 - art. 318-50 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036893977", "@num": "318-6", "#text": "Arrêté du 12 novembre 2004 - art. 318-6 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000037151836", "@num": "321-31", "#text": "Arrêté du 12 novembre 2004 - art. 321-31 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000036895424", "@num": "512-12", "#text": "Arrêté du 12 novembre 2004 - art. 512-12 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000028050594", "@num": "541-10", "#text": "Arrêté du 12 novembre 2004 - art. 541-10 (VD)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000037536885", "@num": "560-4 bis", "#text": "Arrêté du 12 novembre 2004 - art. 560-4 bis (T)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000029082416", "@num": "611-1", "#text": "Arrêté du 12 novembre 2004 - art. 611-1 (Ab)", "@sens": "cible", "@cidtexte": "JORFTEXT000000606599", "@nortexte": "ECOT0420062A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2004-11-12" }, { "@id": "LEGIARTI000006533068", "@num": "2", "#text": "Ordonnance n°2006-931 du 28 juillet 2006 - art. 2 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000000790613", "@nortexte": "ECOX0600107R", "@numtexte": "2006-931", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2006-07-28" }, { "@id": "LEGIARTI000019285267", "@num": "160", "#text": "LOI n°2008-776\n du 4 août 2008 - art. 160", "@sens": "cible", "@cidtexte": "JORFTEXT000019283050", "@nortexte": "ECEX0808477L", "@numtexte": "2008-776", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "2008-08-04" }, { "@id": "LEGIARTI000020315589", "@num": "1", "#text": "Ordonnance n°2009-233\n du 26 février 2009 - art. 1 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000020314915", "@nortexte": "ECET0822074R", "@numtexte": "2009-233", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2009-02-26" }, { "@id": "LEGIARTI000021721323", "@num": "19", "#text": "Ordonnance n°2010-76 du 21 janvier 2010 - art. 19 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000021719945", "@nortexte": "ECEX0929065R", "@numtexte": "2010-76", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2010-01-21" }, { "@id": "LEGIARTI000031561587", "@num": "6", "#text": "ORDONNANCE n° 2015-1576 du 3 décembre 2015 - art. 6 (V)", "@sens": "cible", "@cidtexte": "JORFTEXT000031560621", "@nortexte": "FCPT1519260R", "@numtexte": "2015-1576", "@typelien": "CITATION", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2015-12-03" }, { "@id": "LEGIARTI000032631329", "@num": "82", "#text": "LOI n°2016-731 du 3 juin 2016 - art. 82", "@sens": "source", "@cidtexte": "JORFTEXT000032627231", "@nortexte": "JUSD1532276L", "@numtexte": "2016-731", "@typelien": "MODIFICATION", "@naturetexte": "LOI", "@datesignatexte": "2016-06-03" }, { "@id": "LEGIARTI000034695027", "@num": "1", "#text": "Décret n°2017-865 du 9 mai 2017 - art. 1", "@sens": "cible", "@cidtexte": "JORFTEXT000034633181", "@nortexte": "ECFT1703547D", "@numtexte": "2017-865", "@typelien": "CITATION", "@naturetexte": "DECRET", "@datesignatexte": "2017-05-09" }, { "@id": "LEGIARTI000035014371", "@num": "12", "#text": "Ordonnance n°2017-1107 du 22 juin 2017 - art. 12", "@sens": "cible", "@cidtexte": "JORFTEXT000035013490", "@nortexte": "ECOT1706653R", "@numtexte": "2017-1107", "@typelien": "CONCORDE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2017-06-22" }, { "@id": "LEGIARTI000037147775", "#text": "Arrêté du 14 juin 2018 - art.", "@sens": "cible", "@cidtexte": "JORFTEXT000037146528", "@nortexte": "ECOT1816563A", "@typelien": "CITATION", "@naturetexte": "ARRETE", "@datesignatexte": "2018-06-14" }, { "@id": "LEGIARTI000006229200", "@num": "L233-7", "#text": "Code de commerce - art. L233-7 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000005634379", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000039412880", "@num": "D341-2", "#text": "Code monétaire et financier - art. D341-2 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006641266", "@num": "D452-2", "#text": "Code monétaire et financier - art. D452-2 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035531095", "@num": "D541-8", "#text": "Code monétaire et financier - art. D541-8 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035531080", "@num": "D547-2", "#text": "Code monétaire et financier - art. D547-2 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000031643654", "@num": "L211-17-1", "#text": "Code monétaire et financier - art. L211-17-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000031094465", "@num": "L322-8", "#text": "Code monétaire et financier - art. L322-8 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000038612305", "@num": "L341-17", "#text": "Code monétaire et financier - art. L341-17 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006652335", "@num": "L421-1", "#text": "Code monétaire et financier - art. L421-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006654249", "@num": "L451-1-2", "#text": "Code monétaire et financier - art. L451-1-2 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000027758017", "@num": "L465-2-1", "#text": "Code monétaire et financier - art. L465-2-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050487960", "@num": "L465-3-5", "#text": "Code monétaire et financier - art. L465-3-5 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032745713", "@num": "L465-3-6", "#text": "Code monétaire et financier - art. L465-3-6 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000027850912", "@num": "L523-2", "#text": "Code monétaire et financier - art. L523-2 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035042889", "@num": "L532-10", "#text": "Code monétaire et financier - art. L532-10 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035042882", "@num": "L532-11", "#text": "Code monétaire et financier - art. L532-11 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043706887", "@num": "L532-6", "#text": "Code monétaire et financier - art. L532-6 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006657679", "@num": "L533-1", "#text": "Code monétaire et financier - art. L533-1 (M)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035043151", "@num": "L533-2", "#text": "Code monétaire et financier - art. L533-2 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000022954075", "@num": "L546-1", "#text": "Code monétaire et financier - art. L546-1", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032303582", "@num": "L546-4", "#text": "Code monétaire et financier - art. L546-4 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000044564058", "@num": "L547-1", "#text": "Code monétaire et financier - art. L547-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000021722334", "@num": "L612-39", "#text": "Code monétaire et financier - art. L612-39", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000039278717", "@num": "L621-12", "#text": "Code monétaire et financier - art. L621-12 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000033613304", "@num": "L621-13-1", "#text": "Code monétaire et financier - art. L621-13-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050370747", "@num": "L621-14", "#text": "Code monétaire et financier - art. L621-14 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050370739", "@num": "L621-14-1", "#text": "Code monétaire et financier - art. L621-14-1 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000030054277", "@num": "L621-15-1", "#text": "Code monétaire et financier - art. L621-15-1 (Ab)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000020574032", "@num": "L621-15-2", "#text": "Code monétaire et financier - art. L621-15-2 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000050370703", "@num": "L621-17", "#text": "Code monétaire et financier - art. L621-17 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000022962304", "@num": "L621-17-1", "#text": "Code monétaire et financier - art. L621-17-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000033612118", "@num": "L621-17-1-1", "#text": "Code monétaire et financier - art. L621-17-1-1 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000044193296", "@num": "L621-2", "#text": "Code monétaire et financier - art. L621-2 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000027011497", "@num": "L621-20-2", "#text": "Code monétaire et financier - art. L621-20-2 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000006660196", "@num": "L621-3", "#text": "Code monétaire et financier - art. 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Article L341-17 AUTONOME VIGUEUR, en vigueur depuis le 24/05/2019 (Code monétaire et financier)