Multilingual Glossary and Regulations - Dutch, English, French, German, Italian, Portuguese and Spanish
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Reglo's translation/definition for
Investment firm
Investment firm
English
Investment firm
any legal person whose regular
occupation or business is the provision of one or more
investment services to third parties and/or the performance
of one or more investment activities on a professional
basis;
Member States may include in the definition of investment
firms undertakings which are not legal persons, provided
that:
(a) their legal status ensures a level of protection for third
parties' interests equivalent to that afforded by legal
persons, and
(b) they are subject to equivalent prudential supervision
appropriate to their legal form.
occupation or business is the provision of one or more
investment services to third parties and/or the performance
of one or more investment activities on a professional
basis;
Member States may include in the definition of investment
firms undertakings which are not legal persons, provided
that:
(a) their legal status ensures a level of protection for third
parties' interests equivalent to that afforded by legal
persons, and
(b) they are subject to equivalent prudential supervision
appropriate to their legal form.
Deutsch
Wertpapierfirma
jede juristische Person, die im Rahmen
ihrer üblichen beruflichen oder gewerblichen Tätigkeit
gewerbsmäßig eine oder mehrere Wertpapierdienstleistungen
für Dritte erbringt und/oder eine oder mehrere Anlagetätigkeiten
ausübt.
Die Mitgliedstaaten können als Wertpapierfirma auch
Unternehmen, die keine juristischen Personen sind, definieren,
sofern
a) ihre Rechtsform Dritten ein Schutzniveau bietet, das
dem von juristischen Personen gebotenen Schutz gleichwertig
ist, und
b) sie einer gleichwertigen und ihrer Rechtsform angemessenen
Aufsicht unterliegen.
Spanish
Empresa de inversión
toda persona jurídica cuya profesión
o actividad habituales consisten en prestar uno o más
servicios de inversión o en realizar una o más actividades
de inversión con carácter profesional a terceros.
Los Estados miembros podrán incluir en la definición de
empresa de inversión a empresas que no sean personas
jurídicas, siempre que:
a) su estatuto jurídico garantice a los intereses de terceros
un nivel de protección equivalente al que ofrecen las
personas jurídicas, y
b) sean objeto de una supervisión prudencial equivalente y
adaptada a su forma jurídica.
French
Entreprise d'investissement
toute personne morale dont
l'occupation ou l'activité habituelle consiste à fournir un
ou plusieurs services d'investissement à des tiers et/ou à
exercer une ou plusieurs activités d'investissement à titre
professionnel;
Les États membres peuvent inclure dans la définition des
entreprises d'investissement des entreprises qui ne sont pas
des personnes morales, sous réserve:
a) que leur statut juridique assure aux intérêts des tiers un
niveau de protection équivalent à celui offert par une
personne morale; et
b) qu'elles fassent l'objet d'une surveillance prudentielle
équivalente et adaptée à leur forme juridique.
Italian
Impresa di investimento
qualsiasi persona giuridica la cui
occupazione o attività abituale consiste nel prestare uno o
più servizi di investimento a terzi e/o nell'effettuare una o
più attività di investimento a titolo professionale;
Gli Stati membri possono includere nella definizione di
«impresa di investimento» le imprese che non sono persone
giuridiche a condizione che:
a) il loro status giuridico garantisca ai terzi un livello di
protezione dei loro interessi equivalente a quello offerto
dalle persone giuridiche, e
b) siano oggetto di una vigilanza prudenziale equivalente
adeguata al loro status giuridico.
Dutch
Beleggingsonderneming
iedere rechtspersoon wiens gewone
beroep of bedrijf bestaat in het beroepsmatig verrichten
van een of meer beleggingsdiensten voor derden en/of het
uitoefenen van een of meer beleggingsactiviteiten;
De lidstaten kunnen ook ondernemingen die geen rechtspersoon
zijn onder de definitie van beleggingsonderneming
laten vallen mits:
a) het voor die ondernemingen geldende rechtssysteem
aan derden een bescherming van hun belangen waarborgt
die gelijkwaardig is aan die welke door een
rechtspersoon wordt geboden, en
b) die ondernemingen onderworpen zijn aan een gelijkwaardig
prudentieel toezicht dat aan hun rechtsvorm
aangepast is.
Portuguese
Empresa de investimento
qualquer pessoa colectiva cuja
ocupação ou actividade habitual consista na prestação de
um ou mais serviços de investimento a terceiros e/ou na
execução de uma ou mais actividades de investimento a
título profissional.
Os Estados‑Membros podem incluir na definição de empresas
de investimento empresas que não sejam pessoas
colectivas, desde que:
a) O seu regime jurídico garanta um nível de protecção de
interesses de terceiros equivalente ao que é assegurado
pelo das pessoas colectivas; e
b) Sejam objecto de uma supervisão prudencial equivalente
e adaptada à sua forma jurídica.
Legal source
MiFID - art. 1, 1) of Directive 2004/39/EC of the European Parliament and of the Council
Directive 2004/39/EC,
link to Eur-Lex
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