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投资公司是指“以向第三方当事人提供一项或者多项投资服务为主要职业或者业务,或者专门从事一种或者多种投资活动的任何法人”。See Directive 2004 /39 /EC, Art. 4 (1) 1).
正规市场是指“一个经许可由市场经营者经营或者管理的、持续运作的多边系统,该系统能够根据固定的规则集合或者协助集合多个第三方当事人买卖该规则或者系统认可的金融产品,从而建立契约关系”。See Directive 2004 /39 /EC, Art. 4 (1) 14).
共同投资公司是指“从社会公众吸收资本并根据分散风险的原则专门从事可转让证券和其他流动性金融资产共同投资的企业”。See Directive 85 /611 /EEC, Art. 1.
但是,信用机构的附属金融机构在一定条件下也可以被纳入相互承认的范围。See Directive 2000 /12 /EC, Art. 19.
See Directive 2000 /12 /EC, Annex I; Directive 2004 /39 /EC, Art. 1 (2).
See Directive 2004 /39 /EC, Art. 4 (1) 2) and Annex I.
See Directive 2004 /39 /EC, Art. 42 (6).
See Directive 85 /611 /EEC, Art. 6.
See Directive 2005 /68 /EC, Art. 2 ( 1) ( a) ; Directive 73 /239 /EEC, Annex; Directive 79 /267 /EEC, Art. 1; Directive 2002 /92 /EC, Art. 1 (2).
See Directive 2000 /12 /EC, Arts. 4 - 9 and 17; Directive 2004 /39 /EC, Arts. 5 - 13; Directive 2002 /83 /EC, Arts. 4 - 8; Directive 73 /239 /EEC, Arts. 8 - 11. Directive 2005 /68 /EC, Arts. 5 - 12.
See Directive 2002 /92 /EC, Art. 4.
See Directive 2000 /12 /EC, Title V; Directive 2004 /39 /EC, Chap ter II; Directive 93 /6 /EEC, Art. 5; Directive 2002 /83 / EC, Title III; Directive 92 /49 /EEC, Title III; Directive 2005 /68 /EC, Title 3; Directive 2002 /92 /EC, Chap ter 3.
See Directive 2000 /17 /EC, Recital (9) and (10) ; Directive 2001 /24 /EC, Recitals (6) and (14).
See Directive 94 /19 /EC, Art. 4 (2) ; Directive 97 /9 /EC, Art. 7 (1).
See Directive 88 /357 /EEC, Art. 7; Directive 2002 /83 /EC, Art. 32.
A. Gktzinis, Cross - border Electronic BankingActivities in the Single EuropeanMarket and the Normative Value of Home Country Supervision, Journal of InternationalBanking Regulation, Vol. 5, No. 1, p. 85.
S. J. Key, tual Recognition: Integration of the Financial Sector in the European Comnity, Federal Reserve Bulletin, Vol. 75, Iss. 9, p. 604.
A. Gktzinis, Cross - border Electronic BankingActivities in the Single EuropeanMarket and the Normative Vae of Home Cntry Supervision, Journal of InternationalBanking Regulation, Vol. 5, No. 1, p. 87.
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