Instruction No. 2015-I-01 of February 2, 2015, regarding the form for the appointment or renewal of a senior manager and the form for the appointment or renewal of the mandate of a member of a corporate body (repealed)

PRUDENTIAL CONTROL AND RESOLUTION AUTHORITY

Instruction No. 2015-I-01 regarding the form for the appointment or renewal of a senior manager and the form for the appointment or renewal of the mandate of a member of a corporate body

The Prudential Control and Resolution Authority, Having regard to the Monetary and Financial Code, particularly Articles L. 511-13, L. 511-51, L. 511-52, L. 517-5, L. 517-9, L. 522-6, L. 526-9, L. 532-2, L. 533-25, L. 533-26, L. 612-23-1, R. 612-29-3 and R. 612-29-4; Having regard to Decree No. 2014-1357 of November 13, 2014, regarding the control of honorability and competence of managers and members of collegiate bodies in insurance undertakings, credit institutions, financing companies, investment firms other than portfolio management companies, financial holding companies, mixed financial holding companies and parent financing companies; Having regard to the Order of October 29, 2009, concerning the prudential regulation of payment institutions; Having regard to the Order of May 2, 2013, concerning the prudential regulation of electronic money institutions; Having regard to the opinion of the Prudential Affairs Consultative Committee dated January 30, 2015, Decides:

Article 1 The following are hereinafter referred to as "subject institutions and bodies":

• credit institutions referred to in I of Article L. 511-1 of the Monetary and Financial Code;
• financing companies referred to in II of Article L. 511-1 of the same code;
• investment firms referred to in Article L. 531-4 of the same code, other than portfolio management companies;
• payment institutions referred to in Article L. 522-1 of the same code;
• electronic money institutions referred to in Article L. 526-1 of the same code;
• financial holding companies and parent financing companies referred to in Article L. 517-1 of the same code;

2

• mixed financial holding companies referred to in Article L. 517-9 of this code;

Article 2 The subject institutions and bodies mentioned in Article 1 must declare to the Prudential Control and Resolution Authority (ACPR) any appointment or any renewal of persons who ensure the effective management of the activity. Payment institutions and electronic money institutions are not required to declare to the ACPR the renewal of the mandate of said persons. The declaration mentioned in the preceding paragraph is made using the form appearing in Annex 1 to this instruction.

Article 3 Subject institutions, with the exception of payment institutions, electronic money institutions, financial holding companies, parent financing companies and mixed financial holding companies, must also declare to the ACPR any appointment or any renewal of the mandate of a member of the board of directors, the supervisory board or any other body exercising equivalent functions. The declaration mentioned in the preceding paragraph is made using the form appearing in Annex 2 to this instruction.

Article 4 These forms, along with any requested supplementary documents, are to be sent in duplicate by mail to the following address: Prudential Control and Resolution Authority Licensing, Authorizations and Regulation Department 61, rue Taitbout 75436 Paris Cedex 09 These forms must also be sent to the competent services electronically.

Article 5 This instruction enters into force upon its publication. Paris, February 2, 2015 The President of the Prudential Control and Resolution Authority, Robert OPHÈLE