# C_2018381EN.01001301.xml

| 22.10.2018 | EN | Official Journal of the European Union | C 381/13 |
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22.10.2018

EN

Official Journal of the European Union

C 381/13

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Request for a preliminary ruling from the Tribunalul Specializat Cluj (Romania) lodged on 30 July 2018 — AU v Reliantco Investments LTD, Reliantco Investments LTD Limassol Sucursala București

(Case C-500/18)

(2018/C 381/14)

Language of the case: Romanian

Referring court

Tribunalul Specializat Cluj

Parties to the main proceedings

Applicant: AU

Defendants: Reliantco Investments LTD, Reliantco Investments LTD Limassol Sucursala București

Questions referred

| 1. | When interpreting the concept of ‘retail client’ in Article 4(1).12 of Directive 2004/39/[EC], (1) can or must the national court use the same interpretive criteria as those which define the concept of ‘consumer’ within the meaning of Article 2(b) of Directive 93/13/EEC? (2) |
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1.

When interpreting the concept of ‘retail client’ in Article 4(1).12 of Directive 2004/39/[EC], (1) can or must the national court use the same interpretive criteria as those which define the concept of ‘consumer’ within the meaning of Article 2(b) of Directive 93/13/EEC? (2)

| 2. | If the answer to the first question is in the negative, under what conditions may a ‘retail client’ within the meaning of Directive 2004/[39/EC] claim consumer status in a dispute such as that in the main proceedings? |
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2.

If the answer to the first question is in the negative, under what conditions may a ‘retail client’ within the meaning of Directive 2004/[39/EC] claim consumer status in a dispute such as that in the main proceedings?

| 3. | In particular, do the facts that a ‘retail client’, within the meaning of Directive 2004/[39/EC], carries out a high volume of transactions within a relatively short period of time and that he invests very large sums of money in financial instruments such as those defined in Article 4[(1)].17 of Directive 2004/39/[EC], constitute relevant criteria for the purpose of assessing whether a ‘retail client’ has consumer status under that directive? |
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3.

In particular, do the facts that a ‘retail client’, within the meaning of Directive 2004/[39/EC], carries out a high volume of transactions within a relatively short period of time and that he invests very large sums of money in financial instruments such as those defined in Article 4[(1)].17 of Directive 2004/39/[EC], constitute relevant criteria for the purpose of assessing whether a ‘retail client’ has consumer status under that directive?

| 4. | When attempting to establish its own jurisdiction, since it has the obligation to determine the impact of Article 17(1)(c) or Article 7(2) of Regulation (EU) No 1215/2012, (3) whichever is applicable, can and/or must the national court take into consideration the legal basis relied on by the applicant (namely non-contractual liability alone) as a remedy for the conclusion of terms alleged to be unfair within the meaning of Directive 93/13/EEC, for which the substantive law applicable has been established pursuant to Regulation (EC) No 864/2007 (Rome II), (4) or does the possible consumer status of the applicant make the substantive legal basis of his request irrelevant? |
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4.

When attempting to establish its own jurisdiction, since it has the obligation to determine the impact of Article 17(1)(c) or Article 7(2) of Regulation (EU) No 1215/2012, (3) whichever is applicable, can and/or must the national court take into consideration the legal basis relied on by the applicant (namely non-contractual liability alone) as a remedy for the conclusion of terms alleged to be unfair within the meaning of Directive 93/13/EEC, for which the substantive law applicable has been established pursuant to Regulation (EC) No 864/2007 (Rome II), (4) or does the possible consumer status of the applicant make the substantive legal basis of his request irrelevant?

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(1)  Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments, amending Council Directives 85/611/EEC and 93/6/EEC and Directive 2000/12/EC of the European Parliament and of the Council and repealing Council Directive 93/22/EEC (OJ 2004 L 145, p. 1).

(2)  Council Directive 93/13/EEC of 5 April 1993 on unfair terms in consumer contracts (OJ 1993 L 95, p. 29).

(3)  Regulation (EU) No 1215/2012 of the European Parliament and of the Council of 12 December 2012 on jurisdiction and the recognition and enforcement of judgments in civil and commercial matters (OJ 2012 L 351, p. 1).

(4)  Regulation (EC) No 864/2007 of the European Parliament and of the Council of 11 July 2007 on the law applicable to non-contractual obligations (Rome II) (OJ 2007 L 199, p. 40).

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