{ "article": { "LEGIARTI000043697253": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L533-4-7", "ETAT": "VIGUEUR", "TYPE": "AUTONOME", "DATE_FIN": "2999-01-01", "DATE_DEBUT": "2021-06-26" } }, "META_COMMUN": { "ID": "LEGIARTI000043697253", "URL": "article/LEGI/ARTI/00/00/43/69/72/LEGIARTI000043697253.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "NOTA": { "CONTENU": "

Conformément à l’article 10 de l’ordonnance n° 2021-796 du 23 juin 2021, ces dispositions entrent en vigueur le 26 juin 2021.

" }, "LIENS": { "LIEN": [ { "@id": "LEGIARTI000043695238", "@num": "7", "#text": "Ordonnance n°2021-796 du 23 juin 2021 - art. 7", "@sens": "cible", "@cidtexte": "JORFTEXT000043694571", "@nortexte": "ECOT2113069R", "@numtexte": "2021-796", "@typelien": "CREE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2021-06-23" }, { "@id": "LEGIARTI000043697214", "@num": "L533-4-4", "#text": "Code monétaire et financier - art. L533-4-4 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697216", "@num": "L533-4-5", "#text": "Code monétaire et financier - art. L533-4-5 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TM": { "TM": { "TM": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000006170646", "@fin": "2018-01-03", "#text": "Section 2 : Normes de gestion", "@debut": "2007-04-20" }, { "@id": "LEGISCTA000035043157", "@fin": "2021-06-26", "#text": "Section 2 : Normes de gestion applicables aux prestataires de services d'investissement", "@debut": "2018-01-03" }, { "@id": "LEGISCTA000043706993", "@fin": "2999-01-01", "#text": "Section 2 : Normes de gestion applicables aux prestataires de services d'investissement et dispositions prudentielles applicables aux entreprises d'investissement", "@debut": "2021-06-26" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006154697", "@fin": "2999-01-01", "#text": "Chapitre III : Obligations des prestataires de services d'investissement", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006140119", "@fin": "2999-01-01", "#text": "Titre III : Les prestataires de services d'investissement", "@debut": "2001-01-01" } ] }, "TITRE_TM": [ { "@id": "LEGISCTA000006123943", "@fin": "2999-01-01", "#text": "Livre V : Les prestataires de 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": "VIGUEUR", "LIEN_ART": { "@id": "LEGIARTI000043697253", "@fin": "2999-01-01", "@num": "L533-4-7", "@etat": "VIGUEUR", "@debut": "2021-06-26", "@origine": "LEGI" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "

L'Autorité de contrôle prudentiel et de résolution notifie au Conseil de résolution unique toute exigence de fonds propres supplémentaires conformément à l'article L. 533-4-4 et tout ajustement éventuellement attendu conformément à l'article L. 533-4-5.

" } }, "LEGIARTI000043695238": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "7", "TYPE": "ENTIEREMENT_MODIF", "DATE_FIN": "2999-01-01", "DATE_DEBUT": "2999-01-01" } }, "META_COMMUN": { "ID": "LEGIARTI000043695238", "URL": "article/LEGI/ARTI/00/00/43/69/52/LEGIARTI000043695238.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "LIENS": { "LIEN": [ { "@id": "LEGISCTA000043706993", "#text": "Code monétaire et financier - Section 2 : Normes de gestion applicables aux p... (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "MODIFIE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGISCTA000043697283", "#text": "Code monétaire et financier - Sous-section préliminaire : Champ d'application... (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CREE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043706970", "@num": "L533-10", "#text": "Code monétaire et financier - art. L533-10 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "MODIFIE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043706986", "@num": "L533-2-1", "#text": "Code monétaire et financier - art. L533-2-1 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "MODIFIE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043706983", "@num": "L533-2-2", "#text": "Code monétaire et financier - art. L533-2-2 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "MODIFIE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000028633753", "@num": "L533-2-3", "#text": "Code monétaire et financier - art. L533-2-3", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043706976", "@num": "L533-2-3", "#text": "Code monétaire et financier - art. L533-2-3 (V)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "MODIFIE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697287", "@num": "L533-24-2", "#text": "Code monétaire et financier - art. L533-24-2 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CREE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697291", "@num": "L533-24-3", "#text": "Code monétaire et financier - art. L533-24-3 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CREE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043706964", "@num": "L533-25", "#text": "Code monétaire et financier - art. L533-25 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "MODIFIE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043706943", "@num": "L533-29", "#text": "Code monétaire et financier - art. L533-29 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "MODIFIE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697357", "@num": "L533-29-1", "#text": "Code monétaire et financier - art. L533-29-1 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CREE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697362", "@num": "L533-29-2", "#text": "Code monétaire et financier - art. L533-29-2 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CREE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697366", "@num": "L533-29-3", "#text": "Code monétaire et financier - art. L533-29-3 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CREE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697370", "@num": "L533-29-4", "#text": "Code monétaire et financier - art. L533-29-4 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CREE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043706927", "@num": "L533-30", "#text": "Code monétaire et financier - art. L533-30 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "MODIFIE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697467", "@num": "L533-30-1", "#text": "Code monétaire et financier - art. L533-30-1 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CREE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697521", "@num": "L533-30-10", "#text": "Code monétaire et financier - art. L533-30-10 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CREE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697529", "@num": "L533-30-11", "#text": "Code monétaire et financier - art. L533-30-11 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CREE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697533", "@num": "L533-30-12", "#text": "Code monétaire et financier - art. L533-30-12 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CREE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697538", "@num": "L533-30-13", "#text": "Code monétaire et financier - art. L533-30-13 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CREE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697542", "@num": "L533-30-14", "#text": "Code monétaire et financier - art. L533-30-14 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CREE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697546", "@num": "L533-30-15", "#text": "Code monétaire et financier - art. L533-30-15 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CREE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697550", "@num": "L533-30-16", "#text": "Code monétaire et financier - art. L533-30-16 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CREE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697554", "@num": "L533-30-17", "#text": "Code monétaire et financier - art. L533-30-17 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CREE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697471", "@num": "L533-30-2", "#text": "Code monétaire et financier - art. L533-30-2 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CREE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697482", "@num": "L533-30-3", "#text": "Code monétaire et financier - art. L533-30-3 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CREE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697487", "@num": "L533-30-4", "#text": "Code monétaire et financier - art. L533-30-4 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CREE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697491", "@num": "L533-30-5", "#text": "Code monétaire et financier - art. L533-30-5 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CREE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697495", "@num": "L533-30-6", "#text": "Code monétaire et financier - art. L533-30-6 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CREE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697499", "@num": "L533-30-7", "#text": "Code monétaire et financier - art. L533-30-7 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CREE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697503", "@num": "L533-30-8", "#text": "Code monétaire et financier - art. L533-30-8 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CREE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697515", "@num": "L533-30-9", "#text": "Code monétaire et financier - art. L533-30-9 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CREE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043706913", "@num": "L533-31", "#text": "Code monétaire et financier - art. L533-31 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "MODIFIE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697587", "@num": "L533-31-1", "#text": "Code monétaire et financier - art. L533-31-1 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CREE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697591", "@num": "L533-31-2", "#text": "Code monétaire et financier - art. L533-31-2 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CREE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697595", "@num": "L533-31-3", "#text": "Code monétaire et financier - art. L533-31-3 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CREE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697599", "@num": "L533-31-4", "#text": "Code monétaire et financier - art. L533-31-4 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CREE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697603", "@num": "L533-31-5", "#text": "Code monétaire et financier - art. L533-31-5 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CREE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043706910", "@num": "L533-4", "#text": "Code monétaire et financier - art. L533-4 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "MODIFIE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697229", "@num": "L533-4-2", "#text": "Code monétaire et financier - art. L533-4-2 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CREE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697237", "@num": "L533-4-3", "#text": "Code monétaire et financier - art. L533-4-3 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CREE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697241", "@num": "L533-4-4", "#text": "Code monétaire et financier - art. L533-4-4 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CREE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697245", "@num": "L533-4-5", "#text": "Code monétaire et financier - art. L533-4-5 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CREE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697249", "@num": "L533-4-6", "#text": "Code monétaire et financier - art. L533-4-6 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CREE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697253", "@num": "L533-4-7", "#text": "Code monétaire et financier - art. L533-4-7 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CREE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697257", "@num": "L533-4-8", "#text": "Code monétaire et financier - art. L533-4-8 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CREE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000043697261", "@num": "L533-4-9", "#text": "Code monétaire et financier - art. L533-4-9 (VD)", "@sens": "source", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CREE", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" } ] }, "CONTEXTE": { "TEXTE": { "TM": { "TITRE_TM": [ { "@id": "LEGISCTA000043695223", "@fin": "2999-01-01", "#text": "Chapitre II : Dispositions modifiant le livre V du code monétaire et financier", "@debut": "2021-06-25" } ] }, "@cid": "JORFTEXT000043694571", "@nor": "ECOT2113069R", "@num": "2021-796", "@nature": "ORDONNANCE", "TITRE_TXT": [ { "@fin": "2999-01-01", "#text": "Ordonnance n° 2021-796 du 23 juin 2021 portant transposition de la directive (UE) 2019/2034 du Parlement européen et du Conseil du 27 novembre 2019 concernant la surveillance prudentielle des entreprises d'investissement", "@debut": "2999-01-01", "@id_txt": "JORFTEXT000043694571", "@c_titre_court": "Ordonnance n°2021-796 du 23 juin 2021" }, { "@fin": "2999-01-01", "#text": "Ordonnance n° 2021-796 du 23 juin 2021 portant transposition de la directive (UE) 2019/2034 du Parlement européen et du Conseil du 27 novembre 2019 concernant la surveillance prudentielle des entreprises d'investissement", "@debut": "2021-06-25", "@id_txt": "LEGITEXT000043695221", "@c_titre_court": "Ordonnance n°2021-796 du 23 juin 2021" } ], "@ministere": "Ministère de l'économie, des finances et de la relance", "@date_publi": "2021-06-24", "@date_signature": "2021-06-23", "@num_parution_jo": "0145" } }, "VERSIONS": { "VERSION": [ { "LIEN_ART": { "@id": "LEGIARTI000043695238", "@fin": "2999-01-01", "@num": "7", "@debut": "2999-01-01", "@origine": "LEGI" } }, { "LIEN_ART": { "@id": "JORFARTI000043694582", "@fin": "2999-01-01", "@num": "7", "@debut": "2999-01-01", "@origine": "JORF" } } ] }, "BLOC_TEXTUEL": { "CONTENU": "
A créé les dispositions suivantes :

- Code monétaire et financier
\n Sct. Sous-section préliminaire : Champ d'application et dispositions transitoires relatives à la gouvernance des entreprises d'investissement, Art. L533-24-2, Art. L533-24-3\n
\n

\n
\n
A créé les dispositions suivantes :

- Code monétaire et financier
\n Art. L533-30-1, Art. L533-30-2, Art. L533-30-3, Art. L533-30-4, Art. L533-30-5, Art. L533-30-6, Art. L533-30-7, Art. L533-30-8, Art. L533-30-9, Art. L533-30-10, Art. L533-30-11, Art. L533-30-12, Art. L533-30-13, Art. L533-30-14, Art. L533-30-15, Art. L533-30-16, Art. L533-30-17\n
\n

\n
\n
A créé les dispositions suivantes :

- Code monétaire et financier
\n Art. L533-4-2, Art. L533-4-3, Art. L533-4-4, Art. L533-4-5, Art. L533-4-6, Art. L533-4-7, Art. L533-4-8, Art. L533-4-9\n
\n

\n
\n
A créé les dispositions suivantes :

- Code monétaire et financier
\n Art. L533-31-1, Art. L533-31-2, Art. L533-31-3, Art. L533-31-4, Art. L533-31-5\n
\n

\n
\n
A créé les dispositions suivantes :

- Code monétaire et financier
\n Art. L533-29-1, Art. L533-29-2, Art. L533-29-3, Art. L533-29-4\n
\n

\n
\n
A modifié les dispositions suivantes :

- Code monétaire et financier
\n Sct. Section 2 : Normes de gestion applicables aux prestataires de services d'investissement et dispositions prudentielles applicables aux entreprises d'investissement, Art. L533-2-1, Art. L533-2-2, Art. L533-2-3, Art. L533-4, Art. L533-10, Art. L533-25, Art. L533-29, Art. L533-30, Art. L533-31\n
\n

\n
" } }, "LEGIARTI000043697241": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L533-4-4", "ETAT": "VIGUEUR", "TYPE": "AUTONOME", "DATE_FIN": "2999-01-01", "DATE_DEBUT": "2021-06-26" } }, "META_COMMUN": { "ID": "LEGIARTI000043697241", "URL": "article/LEGI/ARTI/00/00/43/69/72/LEGIARTI000043697241.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "NOTA": { "CONTENU": "

Conformément à l’article 10 de l’ordonnance n° 2021-796 du 23 juin 2021, ces dispositions entrent en vigueur le 26 juin 2021.

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L'Autorité de contrôle prudentiel et de résolution peut imposer à une entreprise d'investissement de classe 2 une exigence de fonds propres supplémentaires d'un montant supérieur au montant minimal prévu par la réglementation applicable et exiger l'application à ses actifs d'une politique spécifique de provisionnement ou un traitement spécifique au regard des exigences de fonds propres.
\n
L'Autorité impose l'exigence de fonds propres supplémentaires prévue à l'alinéa précédent dans les cas suivants :
\n
1° L'entreprise d'investissement est exposée à des risques ou à des éléments de risques, ou fait peser sur d'autres des risques qui sont significatifs et qui ne sont pas couverts ou pas suffisamment couverts par les exigences de fonds propres, en particulier les exigences basées sur les facteurs K énoncés à la troisième ou à la quatrième partie du règlement (UE) 2019/2033 ;
\n
2° L'entreprise d'investissement ne satisfait pas aux exigences prévues aux articles L. 533-2-2 et L. 533-29 et il est peu probable que d'autres mesures améliorent suffisamment les dispositifs, processus, mécanismes et stratégies dans un délai approprié ;
\n
3° Les corrections concernant l'évaluation prudente du portefeuille de négociation sont insuffisantes pour permettre à l'entreprise d'investissement de vendre ou de couvrir ses positions dans un bref délai sans s'exposer à des pertes significatives dans des conditions de marché normales ;
\n
4° Il ressort de l'examen effectué en vertu de l'article L. 533-2-3 que le non-respect des exigences régissant l'utilisation des modèles internes autorisés est susceptible d'entraîner des niveaux de capital inadéquats ;
\n
5° A plusieurs reprises, l'entreprise d'investissement n'a pas établi ou conservé un niveau adéquat de fonds propres supplémentaires tel qu'il est prévu à l'article L. 533-4-5.
\n
L'Autorité de contrôle prudentiel et de résolution peut imposer, conformément aux dispositions précitées, une exigence de fonds propres supplémentaires aux entreprises d'investissement de classe 3 sur la base d'une évaluation au cas par cas lorsqu'elle l'estime justifiée.
\n
Un arrêté du ministre chargé de l'économie précise les conditions dans lesquelles les risques ou des éléments de risques sont considérés comme non couverts ou insuffisamment couverts par les exigences de fonds propres, le niveau et la nature des fonds propres supplémentaires fixés par l'Autorité de contrôle prudentiel et de résolution ainsi que les modalités entourant la décision de l'Autorité d'imposer une exigence de fonds propres supplémentaires.

" } }, "LEGIARTI000043697245": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L533-4-5", "ETAT": "VIGUEUR", "TYPE": "AUTONOME", "DATE_FIN": "2999-01-01", "DATE_DEBUT": "2021-06-26" } }, "META_COMMUN": { "ID": "LEGIARTI000043697245", "URL": "article/LEGI/ARTI/00/00/43/69/72/LEGIARTI000043697245.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "NOTA": { "CONTENU": "

Conformément à l’article 10 de l’ordonnance n° 2021-796 du 23 juin 2021, ces dispositions entrent en vigueur le 26 juin 2021.

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L'Autorité de contrôle prudentiel et de résolution contrôle le niveau de fonds propres qui a été déterminé par chaque entreprise d'investissement de classe 2 conformément à l'article L. 533-2-2 et vérifie qu'elle conserve un niveau de fonds propres suffisamment supérieur aux exigences prévues dans la troisième partie du règlement (UE) 2019/2033 et aux exigences de fonds propres supplémentaires mentionnées à l'article L. 533-4-4, pour que les fluctuations économiques conjoncturelles ne conduisent pas à une infraction à ces exigences ou ne compromettent pas la capacité de l'entreprise d'investissement à liquider ou cesser ses activités en bon ordre.
\n
Compte tenu de l'ampleur, de l'importance systémique, de la nature, de l'échelle et de la complexité ses activités, l'Autorité communique, le cas échéant, à l'entreprise les conclusions de ce contrôle, en précisant les éventuels ajustements attendus d'elle en ce qui concerne le niveau de fonds propres déterminé conformément à l'article L. 533-2-2. Les recommandations sont communiquées à l'entreprise et indiquent la date à laquelle l'Autorité de contrôle prudentiel et de résolution exige que l'ajustement soit achevé.

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Article L533-4-7 AUTONOME VIGUEUR, en vigueur depuis le 26/06/2021 (Code monétaire et financier)