Proposta de decisão do Conselho relativa à conclusão, em nome da Comunidade Europeia, e no que respeita às matérias da sua competência, dos resultados das negociações da Organização Mundial do Comércio sobre os serviços financeiros (98/C 271/01) COM(98) 440 final - 98/0239 (CNS)

(Apresentada pela Comissão em 14 de Julho de 1998)

O CONSELHO DA UNIÃO EUROPEIA,

Tendo em conta o Tratado que institui a Comunidade Europeia e, nomeadamente, os seus artigos 54º, 57º, 63º, 66º, 73ºB a 73ºF, 99º, 100º, 100ºA e 113º, conjugados com a segunda frase do nº 2 do seu artigo 228º e com o primeiro parágrafo do nº 3 do seu artigo 228º,

Tendo em conta a proposta da Comissão,

Tendo em conta o parecer do Parlamento Europeu,

Tendo em conta o parecer do Comité Económico e Social,

Considerando que o Acordo de Marraquexe que cria a Organização Mundial do Comércio (OMC) e os seus acordos conexos, bem como as declarações e decisões ministeriais, e o memorando de acordo sobre os compromissos na área dos serviços financeiros foram aprovados pelo Conselho em 22 de Dezembro de 1994;

Considerando que os compromissos gerais sobre os serviços financeiros, negociados pela Comissão, em nome da Comunidade Europeia e dos seus Estados-membros, constituem um resultado das negociações satisfatório e equilibrado;

Considerando que, em 12 de Dezembro de 1997, o Conselho aprovou, sob reserva da aprovação definitiva após a conclusão dos procedimentos internos, a lista final de compromissos das Comunidades Europeias e dos seus Estados-membros (GATS/SC/31/supl. 4) e autorizou a Comissão a apresentar a referida lista, em nome da Comunidade Europeia e dos seus Estados-membros, à OMC;

Considerando que, na mesma data, o Conselho autorizou a Comissão a aprovar, em nome da Comunidade Europeia e dos seus Estados-membros, os resultados finais das negociações, tal como previsto no quinto protocolo anexo ao Acordo Geral sobre o Comércio de Serviços (GATS) (S/L/45), a decisão que adopta o referido protocolo (S/L/44) e a decisão sobre compromissos na área dos serviços financeiros (S/L/50);

Considerando que a competência da Comunidade para celebrar acordos internacionais não resulta apenas de disposições expressas do Tratado, mas pode igualmente decorrer de outras disposições do Tratado e de actos adoptados no quadro dessas disposições pelas instituições comunitárias;

Considerando que, nos casos em que as regras comunitárias tenham sido adoptadas para atingir os objectivos do Tratado, os Estados-membros não podem, fora do âmbito das instituições comuns, assumir compromissos que possam prejudicar essas regras ou alterar o seu âmbito de aplicação;

Considerando que alguns compromissos em matéria de serviços financeiros são da competência da Comunidade nos termos do artigo 113º e 73ºC do Tratado; que, além disso, outros compromissos sobre serviços financeiros afectam as regras comunitárias adoptadas com base nos artigos 54º, 57º, 63º, 66º, 99º, 100º e 100ºA, podendo apenas ser assumidos pela Comunidade;

Considerando, especialmente, que o recurso ao artigo 100º do Tratado como base jurídica da presente decisão se justifica na medida em que os citados compromissos sobre os serviços financeiros afectam a Directiva 90/434/CEE do Conselho, de 23 de Julho de 1990, relativa ao regime fiscal comum aplicável às fusões, cisões, entradas de activos e permutas de acções entre sociedades de Estados-membros diferentes, e a Directiva 90/435/CEE do Conselho, de 23 de Julho de 1990, relativa ao regime fiscal comum aplicável às sociedades-mães e sociedades afiliadas de Estados-membros diferentes que se fundamentam no artigo 100º do Tratado;

Considerando que, no que respeita aos compromissos em matéria de movimentos de capitais constantes da lista de compromissos específicos da Comunidade e dos Estados-membros, e no estado actual do direito comunitário, a competência geral é da Comunidade; que, todavia, os Estados-membros continuam a ter competência, dentro do limite estabelecido pelo artigo 73ºC do Tratado;

Considerando que, pela sua própria natureza, o Acordo que cria a Organização Mundial do Comércio e os protocolos ao Acordo Geral sobre o Comércio de Serviços não são susceptíveis de ser directamente invocados perante as jurisdições da Comunidade ou dos Estados-membros,

DECIDE:

Artigo único

1. É aprovado, em nome da Comunidade Europeia, e no que respeita às matérias da sua competência, o quinto protocolo ao Acordo Geral sobre Comércio de Serviços relativo aos serviços financeiros (S/L/45).

2. O texto do quinto protocolo, com a lista de compromissos específicos (GATS/SC/31/supl. 4) e a lista de isenções da Comunidade e dos Estados-membros ao artigo II do Acordo Geral sobre Comércio de Serviços (GATS/EL/31), relativamente aos serviços financeiros são anexos à presente decisão, bem como as seguintes decisões:

- decisão do Comité do Comércio de Serviços Financeiros que adopta o quinto protocolo ao Acordo Geral sobre o Comércio de Serviços (S/L/44),

- decisão do Conselho de Comércio de Serviços, de Dezembro de 1997, sobre compromissos na área dos serviços financeiros (S/L/50).

3. O presidente do Conselho é autorizado a designar a pessoa competente para assinar, em nome da Comunidade Europeia, o quinto protocolo ao Acordo Geral sobre o Comércio de Serviços, no que respeita às matérias da sua competência.

FIFTH PROTOCOL TO THE GENERAL AGREEMENT ON TRADE IN SERVICES

Members of the World Trade Organisation (hereinafter referred to as the 'WTO`) whose Schedules of Specific Commitments and Lists of Exemptions from Article II of the General Agreement on Trade in Services concerning financial services are annexed to this Protocol (hereinafter referred to as 'Members concerned`),

HAVING carried out negotiations under the terms of the second Decision on financial services adopted by the Council for Trade in Services on 21 July 1995 (S/L/9),

AGREE as follows:

1. A Schedule of Specific Commitments and a List of Exemptions from Article II concerning financial services annexed to this Protocol relating to a Member shall, on the entry into force of this Protocol for that Member, replace the financial services sections of the Schedule of Specific Commitments and the List of Article II Exemptions of that Member.

2. This Protocol shall be open for acceptance, by signature or otherwise, by the Members concerned until 29 January 1999.

3. This Protocol shall enter into force on the 30th day following the date of its acceptance by all Members concerned. If by 30 January 1999, it has not been accepted by all Members concerned, those Members which have accepted it before that date may, within a period of 30 days thereafter, decide on its entry into force.

4. This Protocol shall be deposited with the Director-General of the WTO. The Director-General of the WTO shall promptly furnish to each Member of the WTO a certified copy of this Protocol and notifications of acceptances thereof pursuant to paragraph 3.

5. This Protocol shall be registered in accordance with the provisions of Article 102 of the Charter of the United Nations.

Done at Geneva this twenty-seventh day of February one thousand nine hundred and ninety-eight, in a single copy in English, French and Spanish languages, each text being authentic, except as otherwise provided for in respect of the Schedules annexed hereto.

EUROPEAN COMMUNITIES AND THEIR MEMBER STATES Schedule of Specific Commitments Supplement 4 (Only the English, French and Spanish texts are authentic)

This text replaces the Financial Services section contained in document GATS/SC/31/Suppl. 1/Rev.1.

EUROPEAN COMMUNITIES AND THEIR MEMBER STATES SCHEDULE OF SPECIFIC COMMITMENTS

Modes of supply: (1) Cross-border supply (2) Consumption abroad (3) Commercial presence (4) Presence of natural persons

>POSIÇÃO NUMA TABELA>

ADDITIONAL COMMITMENTS BY THE EUROPEAN COMMUNITIES AND THEIR MEMBER STATES

Insurance

(a) The European Communities and their Member States note the close cooperation among the insurance regulatory and supervisory authorities of the Member States and encourage their efforts to promote improved supervisory standards.

(b) Member States will make their best endeavours to consider, within six months, complete applications for licences to conduct direct insurance underwriting business, through the establishment in a Member State of a subsidiary in accordance with the legislation of that Member State, by an undertaking governed by the laws of a non-member country. In cases where such applications are refused, the Member State authority will make its best endeavours to notify the undertaking in question and give the reasons for the refusal of the application.

(c) The supervisory authorities of the Member States will make their best endeavours to respond without undue delay to requests for information by applicants on the status of complete applications for licences to conduct direct insurance underwriting business, through the establishment in a Member State of a subsidiary in accordance with the legislation of that Member State by an undertaking governed by the laws of a non-member country.

(d) The European Communities and their Member States will make their best endeavours to examine any questions pertaining to the smooth operation of the internal market in insurance, and consider any issues that might have an impact on the internal market in insurance.

(e) The European Communities and their Member States note that, as regards motor insurance, under Community law as in force at 31 December 1997, and without prejudice to future legislation, premiums may be calculated taking several risk factors into account.

(f) The European Communities and their Member States note that under Community law, as in force at 31 December 1997, and without prejudice to future legislation, the prior approval by national supervisory authorities of policy conditions and scales of premiums that an insurance undertaking intends to use is generally not required.

(g) The European Communities and their Member States note that under Community law, as in force at 31 December 1997, and without prejudice to future legislation, the prior approval by national supervisory authorities of increases in premium rates is generally not required.

Other financial services

(a) In application of the relevant EC Directives, Member States will make their best endeavours to consider, within 12 months, complete applications for licences to conduct banking activities, through the establishment in a Member State of a subsidiary in accordance with the legislation of that Member State, by an undertaking governed by the laws of a non-member country. In cases where such applications are refused, the Member State will make its best endeavours to notify the undertaking in question and give the reasons for the refusal of the application.

(b) Member States will make their best endeavours to respond without undue delay to requests for information by applicants on the status of complete applications for licences to conduct banking activities, through the establishment in a Member State of a subsidiary in accordance with the legislation of that Member State, by an undertaking governed by the laws of a non-member country.

(c) In application of the relevant EC Directives, Member States will make their best endeavours to consider within six months complete applications for licences to conduct investment services in the securities field, as defined in the Investment Services Directive, through the establishment in a Member State of a subsidiary in accordance with the legislation of that Member State, by an undertaking governed by the laws of a non-member country. In cases where such applications are refused, the Member State will make its best endeavours to notify the undertaking in question and give the reasons for the refusal of the application.

(d) Member States will make their best endeavours to respond without undue delay to requests for information by applicants on the status of complete applications for licences to conduct investment services in the securities area, through the establishment in a Member State of a subsidiary in accordance with the legislation of that Member State, by an undertaking governed by the laws of a non-member country.

EUROPEAN COMMUNITIES AND THEIR MEMBER STATES

>POSIÇÃO NUMA TABELA>

DECISION ADOPTING THE FIFTH PROTOCOL TO THE GENERAL AGREEMENT ON TRADE IN SERVICES

Adopted by the Committee on Trade in Financial Services on 14 November 1997

THE COMMITTEE ON TRADE IN FINANCIAL SERVICES,

HAVING regard to the results of the negotiations conducted under the terms of the second Decision on Financial Services adopted by the Council for Trade in Services on 21 July 1995 (S/L/9),

DECIDES as follows:

1. To adopt the text of the fifth Protocol to the General Agreement on Trade in Services.

2. Commencing immediately and continuing until the date of entry into force of the fifth Protocol to the General Agreement on Trade in Services, Members concerned shall, to the fullest extent consistent with their existing legislation, not take measures which would be inconsistent with their undertakings resulting from these negotiations.

3. The Committee shall monitor the acceptance of the Protocol by Members concerned and shall, at the request of a Member, examine any concerns raised regarding the application of paragraph 2.

DECISION OF DECEMBER 1997 ON COMMITMENTS IN FINANCIAL SERVICES

Adopted by the Council for Trade in Services on 12 December 1997

THE COUNCIL FOR TRADE IN SERVICES,

HAVING regard to the second Decision on Financial Services adopted by the Council for Trade in Services on 21 July 1995 (S/L/9),

NOTING the results of the negotiations carried out under the terms of that Decision,

HAVING regard to the Decision adopting the fifth Protocol to the General Agreement on Trade in Services adopted by the Committee on Trade in Financial Services on 14 November 1997 (S/L/44),

DECIDES as follows:

1. If the fifth Protocol to the General Agreement on Trade in Services (GATS) does not enter into force in accordance with paragraph 3 therein:

(a) Notwithstanding Article XXI of the GATS, a Member may for a period of 60 days beginning on 1 March 1999, modify or withdraw all or part of the commitments on financial services inscribed in its Schedule.

(b) Notwithstanding Article II of the GATS and paragraphs 1 and 2 of the Annex to Article II 'Exemptions`, a Member may, for the same period referred to in paragraph 1(a), list in that Annex measures relating to financial services which are inconsistent with paragraph 1 of Article II of the GATS.

2. The Committee on Trade in Financial Services shall establish any procedures necessary for the implementation of paragraph 1.