3 Amendments of Caroline NAGTEGAAL related to 2023/0167(COD)
Amendment 431 #
Proposal for a directive
Article 1 – paragraph 1 – point 12 – point b
Article 1 – paragraph 1 – point 12 – point b
Directive 2014/65/EU
Article 24 – paragraph 1 a a (new)
Article 24 – paragraph 1 a a (new)
1aa. Member States that have a full inducement ban in place for firms that provide investment advice to retail clients, do not pay or receive any fee or commission, or provide or are provided with any non-monetary benefit, in connection with the provision of such service, to or by any party except the client or a person on behalf of the client, are presumed to have complied with subparagraphs 1(b) and (c).
Amendment 911 #
Proposal for a directive
Article 2 – paragraph 1 – point 20
Article 2 – paragraph 1 – point 20
Directive (EU) 2016/97
Article 29 – paragraph 2 – subparagraph 5 a (new)
Article 29 – paragraph 2 – subparagraph 5 a (new)
The requirements with respect to the annual statement must only be applicable to newly agreed-upon retail investment products after entry into force of RIS.
Amendment 961 #
Proposal for a directive
Article 2 – paragraph 1 – point 21
Article 2 – paragraph 1 – point 21
Directive (EU) 2016/97
Article 29 a – paragraph 4 – subparagraph 3 a (new)
Article 29 a – paragraph 4 – subparagraph 3 a (new)
Where Member States prohibit the offer or acceptance of fees, commissions or non-monetary benefits from third parties in relation to the provision of insurance advice they are exempted from the requirements in article 25 and article 29b.