{ "article": { "LEGIARTI000050370703": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L621-17", "ETAT": "VIGUEUR", "TYPE": "AUTONOME", "DATE_FIN": "2999-01-01", "DATE_DEBUT": "2024-12-30" } }, "META_COMMUN": { "ID": "LEGIARTI000050370703", "URL": "article/LEGI/ARTI/00/00/50/37/07/LEGIARTI000050370703.xml", "NATURE": "Article", "ORIGINE": "LEGI" } }, "NOTA": { "CONTENU": "

Conformément au I de l'article 49 de l'ordonnance n° 2024-936 du 15 octobre 2024 (NOR : ECOT2415927R), ces dispositions entrent en vigueur le 30 décembre 2024.

" }, "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": "JORFTEXT000000574488", "#text": "Rapport relatif à l'ordonnance n° 2000-1223 du 14 décembre 2000", "@sens": "source", "@cidtexte": "JORFTEXT000000574488", "@nortexte": "ECOX0000098P", "@numtexte": "2000-1223", "@typelien": "CODIFICATION", "@naturetexte": "RAPPORT", "@datesignatexte": "2999-01-01" }, { "@id": "JORFTEXT000000422094", "#text": "LOI n° 2003-591 du 2 juillet 2003", "@sens": "source", "@cidtexte": "JORFTEXT000000422094", "@nortexte": "FPPX0300014L", "@numtexte": "2003-591", "@typelien": "CODIFICATION", "@naturetexte": "LOI", "@datesignatexte": "2003-07-02" }, { "#text": "Ordonnance n° 2000-1223 du 14 décembre 2000 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000000574489", "@typelien": "CODIFICATION" }, { "@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": "LEGIARTI000050354843", "@num": "22", "#text": "Ordonnance n°2024-936 du 15 octobre 2024 - art. 22", "@sens": "cible", "@cidtexte": "JORFTEXT000050353747", "@nortexte": "ECOT2415927R", "@numtexte": "2024-936", "@typelien": "MODIFIE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2024-10-15" }, { "@id": "LEGIARTI000038612305", "@num": "L341-17", "#text": "Code monétaire et financier - art. 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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 et III ter à V de l'article L. 621-15.

\n
\n
" } }, "LEGIARTI000006658063": { "META": { "META_SPEC": { "META_ARTICLE": { "NUM": "L541-1", "ETAT": "MODIFIE", "TYPE": "AUTONOME", "DATE_FIN": "2007-11-01", "DATE_DEBUT": "2003-08-02" } }, "META_COMMUN": { "ID": "LEGIARTI000006658063", "URL": "article/LEGI/ARTI/00/00/06/65/80/LEGIARTI000006658063.xml", "NATURE": "Article", "ORIGINE": "LEGI", "ANCIEN_ID": "AELXXXXXXXX541L001AXXXAA" } }, "LIENS": { "LIEN": [ { "@id": "JORFTEXT000000508793", "#text": "Loi 71-1130 1971-12-31 art. 54, art. 55, art. 60", "@sens": "source", "@cidtexte": "JORFTEXT000000508793", "@numtexte": "71-1130", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "1971-12-31" }, { "@id": "LEGIARTI000006903358", "@num": "55", "#text": "Loi n°71-1130 du 31 décembre 1971 - art. 55 (M)", "@sens": "source", "@cidtexte": "JORFTEXT000000508793", "@numtexte": "71-1130", "@typelien": "CITATION", "@naturetexte": "LOI", "@datesignatexte": "1971-12-31" }, { "@id": "LEGIARTI000006903403", "@num": "60", "#text": "Loi n°71-1130 du 31 décembre 1971 - 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L541-4 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032785647", "@num": "L541-4-1", "#text": "Code monétaire et financier - art. L541-4-1 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000032786659", "@num": "L541-8", "#text": "Code monétaire et financier - art. L541-8 (VD)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000035043376", "@num": "L541-8-1", "#text": "Code monétaire et financier - art. 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L774-31 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000045236849", "@num": "L775-25", "#text": "Code monétaire et financier - art. L775-25 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000045120263", "@num": "R546-2", "#text": "Code monétaire et financier - art. R546-2 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000045120273", "@num": "R546-3", "#text": "Code monétaire et financier - art. 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I. - Les conseillers en investissements financiers sont les personnes exerçant à titre de profession habituelle une activité de conseil portant sur :
\n
1° La réalisation d'opérations sur les instruments financiers définis à l'article L. 211-1 ;
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2° La réalisation d'opérations de banque ou d'opérations connexes définies aux articles L. 311-1 et L. 311-2 ;
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3° La fourniture de services d'investissement ou de services connexes définis aux articles L. 321-1 et L. 321-2 ;
\n
4° La réalisation d'opérations sur biens divers définis à l'article L. 550-1.
\n
II. - Ne sont pas soumis aux dispositions du présent chapitre :
\n
1° Les établissements de crédit et les organismes mentionnés à l'article L. 518-1, les entreprises d'investissement et les entreprises d'assurance ;
\n
2° Les professionnels soumis à une réglementation spécifique qui exercent une activité de conseil en investissements financiers dans les limites de cette réglementation.
\n
III. - Les conseillers en investissements financiers ne peuvent à titre habituel et rémunéré donner de consultations juridiques ou rédiger des actes sous seing privé pour autrui que dans les conditions et limites des articles 54, 55 et 60 de la loi n° 71-1130 du 31 décembre 1971 portant réforme de certaines professions judiciaires et juridiques.
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L775-25 (V)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000045120263", "@num": "R546-2", "#text": "Code monétaire et financier - art. R546-2 (VT)", "@sens": "cible", "@cidtexte": "LEGITEXT000006072026", "@typelien": "CITATION", "@naturetexte": "CODE", "@datesignatexte": "2999-01-01" }, { "@id": "LEGIARTI000045120273", "@num": "R546-3", "#text": "Code monétaire et financier - art. 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I. - Les conseillers en investissements financiers sont les personnes exerçant à titre de profession habituelle les activités suivantes :
\n
1° Le conseil portant sur la réalisation d'opérations sur les instruments financiers mentionnés à l'article L. 211-1 ;
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2° Le conseil portant sur la réalisation d'opérations de banque mentionnées à l'article L. 311-1 ;
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3° Le conseil portant sur la fourniture de services d'investissement mentionnés à l'article L. 321-1 ;
\n
4° Le conseil portant sur la réalisation d'opérations sur biens divers définis à l'article L. 550-1.
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II. - Les conseillers en investissements financiers peuvent également fournir le service de réception et de transmission d'ordres pour le compte de tiers, dans les conditions et limites fixées par le règlement général de l'Autorité des marchés financiers et exercer d'autres activités de conseil en gestion de patrimoine.
\n
III. - Ne sont pas soumis aux dispositions du présent chapitre :
\n
1° Les établissements de crédit et les organismes mentionnés à l'article L. 518-1, les entreprises d'investissement et les entreprises d'assurance ;
\n
2° Les personnes mentionnées au g du 2° de l'article L. 531-2.
\n
IV. - Les conseillers en investissements financiers ne peuvent à titre habituel et rémunéré donner de consultations juridiques ou rédiger des actes sous seing privé pour autrui que dans les conditions et limites des articles 54, 55 et 60 de la loi n° 71-1130 du 31 décembre 1971 portant réforme de certaines professions judiciaires et juridiques.
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I. - Les conseillers en investissements financiers sont les personnes exerçant à titre de profession habituelle les activités suivantes :
\n
1° Le conseil en investissement mentionné au 5 de l'article L. 321-1 ;
\n
2° Le conseil portant sur la réalisation d'opérations de banque mentionnées à l'article L. 311-1 ;
\n
3° Le conseil portant sur la fourniture de services d'investissement mentionnés à l'article L. 321-1 ;
\n
4° Le conseil portant sur la réalisation d'opérations sur biens divers définis à l'article L. 550-1.
\n
II. - Les conseillers en investissements financiers peuvent également fournir le service de réception et de transmission d'ordres pour le compte de tiers, dans les conditions et limites fixées par le règlement général de l'Autorité des marchés financiers et exercer d'autres activités de conseil en gestion de patrimoine.
\n
III. - Ne sont pas soumis aux dispositions du présent chapitre :
\n
1° Les établissements de crédit et les organismes mentionnés à l'article L. 518-1, les entreprises d'investissement et les entreprises d'assurance ;
\n
2° Les personnes mentionnées au g du 2° de l'article L. 531-2.
\n
IV. - Les conseillers en investissements financiers ne peuvent à titre habituel et rémunéré donner de consultations juridiques ou rédiger des actes sous seing privé pour autrui que dans les conditions et limites des articles 54, 55 et 60 de la loi n° 71-1130 du 31 décembre 1971 portant réforme de certaines professions judiciaires et juridiques.
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} }, { "@etat": "VIGUEUR", "LIEN_ART": { "@id": "LEGIARTI000051555513", "@fin": "2999-01-01", "@num": "L621-15", "@etat": "VIGUEUR", "@debut": "2025-05-03", "@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 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 - 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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 1500000 euros ;
\n
2. Ou, lorsque des profits ont été réalisés, une sanction pécuniaire qui ne peut excéder le décuple de leur montant.
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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.
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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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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 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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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.
\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°, 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 ;
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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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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.
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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 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 ;
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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.
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III. - Les sanctions applicables sont :
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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 ;
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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 ;
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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.
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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.
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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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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.
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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° 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 ;
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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° 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 ;
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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 ;
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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 :
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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 ;
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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 ;
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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.
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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.
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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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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.
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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° 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 ;
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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° 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 ;
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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 ;
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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.
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III. - Les sanctions applicables sont :
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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 ;
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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.
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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.
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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.
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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.

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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.

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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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": "LEGIARTI000020138849", "@num": "6", "#text": "Ordonnance n°2009-80\n du 22 janvier 2009 - art. 6", "@sens": "cible", "@cidtexte": "JORFTEXT000020137933", "@nortexte": "ECET0825537R", "@numtexte": "2009-80", "@typelien": "MODIFIE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2009-01-22" }, { "@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. 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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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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. 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. 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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.

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. 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": "LEGIARTI000021721295", "@num": "6", "#text": "Ordonnance n°2010-76\n du 21 janvier 2010 - art. 6", "@sens": "cible", "@cidtexte": "JORFTEXT000021719945", "@nortexte": "ECEX0929065R", "@numtexte": "2010-76", "@typelien": "MODIFIE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2010-01-21" }, { "@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. 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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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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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" }, "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 - 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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. 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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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I.-Les conseillers en investissements financiers sont les personnes exerçant à titre de profession habituelle les activités suivantes :

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\n

1° Le conseil en investissement mentionné au 5 de l'article L. 321-1 ;

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2° (Abrogé)

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\n

3° Le conseil portant sur la fourniture de services d'investissement mentionnés à l'article L. 321-1 ;

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\n

4° Le conseil portant sur la réalisation d'opérations sur biens divers définis à l'article L. 550-1. \n

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\n

II.-Les conseillers en investissements financiers peuvent également fournir le service de réception et de transmission d'ordres pour le compte de tiers, dans les conditions et limites fixées par le règlement général de l'Autorité des marchés financiers et exercer d'autres activités de conseil en gestion de patrimoine.

\n
\n

III.-Ne sont pas soumis aux dispositions du présent chapitre :

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\n

1° Les établissements de crédit et les organismes mentionnés à l'article L. 518-1, les entreprises d'investissement et les entreprises d'assurance ;

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\n

2° Les personnes mentionnées au g du 2° de l'article L. 531-2.

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\n

IV.-Les conseillers en investissements financiers ne peuvent à titre habituel et rémunéré donner de consultations juridiques ou rédiger des actes sous seing privé pour autrui que dans les conditions et limites des articles 54,55 et 60 de la loi n° 71-1130 du 31 décembre 1971 portant réforme de certaines professions judiciaires et juridiques.

\n
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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": "LEGIARTI000027757633", "@num": "24", "#text": "LOI n°2013-672\r\n du 26 juillet 2013 - art. 24 (V)", "@sens": "source", "@cidtexte": "JORFTEXT000027754539", "@nortexte": "EFIX1239994L", "@numtexte": "2013-672", "@typelien": "MODIFICATION", "@naturetexte": "LOI", "@datesignatexte": "2013-07-26" }, { "@id": "LEGIARTI000027757549", "@num": "13", "#text": "LOI n°2013-672\n du 26 juillet 2013 - art. 13", "@sens": "cible", "@cidtexte": "JORFTEXT000027754539", "@nortexte": "EFIX1239994L", "@numtexte": "2013-672", "@typelien": "MODIFIE", "@naturetexte": "LOI", "@datesignatexte": "2013-07-26" }, { "@id": "LEGIARTI000027757559", "@num": "20", "#text": "LOI n°2013-672\n du 26 juillet 2013 - art. 20", "@sens": "cible", "@cidtexte": "JORFTEXT000027754539", "@nortexte": "EFIX1239994L", "@numtexte": "2013-672", "@typelien": "MODIFIE", "@naturetexte": "LOI", "@datesignatexte": "2013-07-26" }, { "@id": "LEGIARTI000027757561", "@num": "21", "#text": "LOI n°2013-672\n du 26 juillet 2013 - art. 21", "@sens": "cible", "@cidtexte": "JORFTEXT000027754539", "@nortexte": "EFIX1239994L", "@numtexte": "2013-672", "@typelien": "MODIFIE", "@naturetexte": "LOI", "@datesignatexte": "2013-07-26" }, { "@id": "LEGIARTI000027757563", "@num": "22", "#text": "LOI n°2013-672\n du 26 juillet 2013 - art. 22", "@sens": "cible", "@cidtexte": "JORFTEXT000027754539", "@nortexte": "EFIX1239994L", "@numtexte": "2013-672", "@typelien": "MODIFIE", "@naturetexte": "LOI", "@datesignatexte": "2013-07-26" }, { "@id": "LEGIARTI000027757575", "@num": "36", "#text": "LOI n°2013-672\n du 26 juillet 2013 - art. 36", "@sens": "cible", "@cidtexte": "JORFTEXT000027754539", "@nortexte": "EFIX1239994L", "@numtexte": "2013-672", "@typelien": "MODIFIE", "@naturetexte": "LOI", "@datesignatexte": "2013-07-26" }, { "@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", "@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 (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. 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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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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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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": "LEGIARTI000028626775", "@num": "4", "#text": "Ordonnance n°2014-158\n du 20 février 2014 - art. 4", "@sens": "cible", "@cidtexte": "JORFTEXT000028625279", "@nortexte": "EFIT1327482R", "@numtexte": "2014-158", "@typelien": "MODIFIE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2014-02-20" }, { "@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", "@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. 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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.

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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
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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": "LEGIARTI000032466647", "@num": "6", "#text": "Ordonnance n°2016-520 du 28 avril 2016 - art. 6", "@sens": "cible", "@cidtexte": "JORFTEXT000032465520", "@nortexte": "FCPT1608300R", "@numtexte": "2016-520", "@typelien": "MODIFIE", "@naturetexte": "ORDONNANCE", "@datesignatexte": "2016-04-28" }, { "@id": "LEGIARTI000032631329", "@num": "82", "#text": "LOI n° 2016-731 du 3 juin 2016 - art. 82", "@sens": "cible", "@cidtexte": "JORFTEXT000032627231", "@nortexte": "JUSD1532276L", "@numtexte": "2016-731", "@typelien": "MODIFIE", "@naturetexte": "LOI", "@datesignatexte": "2016-06-03" }, { "@id": "LEGIARTI000032744791", "@num": "4", "#text": "LOI n° 2016-819 du 21 juin 2016 - art. 4", "@sens": "source", "@cidtexte": "JORFTEXT000032743112", "@nortexte": "FCPX1608600L", "@numtexte": "2016-819", "@typelien": "MODIFICATION", "@naturetexte": "LOI", "@datesignatexte": "2016-06-21" }, { "@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", "@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", "@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. 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": "LEGIARTI000032470048", "@num": "L621-9", "#text": "Code monétaire et financier - art. L621-9 (VD)", "@sens": "source", "@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": "LEGIARTI000044991571", "@num": "L756-5", "#text": "Code monétaire et financier - art. 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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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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 ;

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.

Article L621-17 AUTONOME VIGUEUR, en vigueur depuis le 30/12/2024 (Code monétaire et financier)