Decision of the EEA Joint Committee No 21/2007 of 27 April 2007 amending Annex IX (Financial services) to the EEA Agreement
Date: 2007-04-27
Institutions: EEA Joint Committee
Subjects: financial instrument, financial legislation, financial market, financial transaction, investment company, provision of services

L 209/38

EN

Official Journal of the European Union

9.8.2007

DECISION OF THE EEA JOINT COMMITTEE

No 21/2007

of 27 April 2007

amending Annex IX (Financial services) to the EEA Agreement

THE EEA JOINT COMMITTEE,

Having regard to the Agreement on the European Economic Area, as amended by the Protocol adjusting the
Agreement on the European Economic Area, hereinafter referred to as ‘the Agreement’, and in particular
Article 98 thereof,

Whereas:

(1) Annex IX to the Agreement was amended by Decision of the EEA Joint Committee No 152/2006 of

8 December 2006 (1).

(2) Commission Directive 2006/73/EC of 10 August 2006 implementing Directive 2004/39/EC of the
European Parliament and of the Council as regards organisational requirements and operating conditions
for investment firms and defined terms for the purposes of that Directive (2) is to be incorporated into
the Agreement.

(3) Commission Regulation (EC) No 1287/2006 of 10 August 2006 implementing Directive 2004/39/EC of
the European Parliament and of the Council as regards record-keeping obligations for investment firms,
transaction reporting, market transparency, admission of financial instruments to trading, and defined
terms for the purposes of that Directive (3) is to be incorporated into the Agreement,

HAS DECIDED AS FOLLOWS:

Article 1

The following points shall be inserted after point 30caa (Council Directive 93/22/EEC) of Annex IX to the
Agreement:

‘30cab. 32006 L 0073: Commission Directive 2006/73/EC of 10 August 2006 implementing Directive 2004/
39/EC of the European Parliament and of the Council as regards organisational requirements and
operating conditions for investment firms and defined terms for the purposes of that Directive (OJ
L 241, 2.9.2006, p. 26).

30cac. 32006 R 1287: Commission Regulation (EC) No 1287/2006 of 10 August 2006 implementing
Directive 2004/39/EC of the European Parliament and of the Council as regards record-keeping
obligations for investment firms, transaction reporting, market transparency, admission of financial
instruments to trading, and defined terms for the purposes of that Directive (OJ L 241, 2.9.2006, p. 1).’

Article 2

The texts of Directive 2006/73/EC and Regulation (EC) No 1287/2006 in the Icelandic and Norwegian
languages, to be published in the EEA Supplement to the Official Journal of the European Union, shall be
authentic.

(1) OJ L 89, 29.3.2007, p. 24.
(2) OJ L 241, 2.9.2006, p. 26.
(3) OJ L 241, 2.9.2006, p. 1.

9.8.2007

EN

Official Journal of the European Union

L 209/39

This Decision shall enter into force on 28 April 2007, provided that all the notifications under Article 103(1)
of the Agreement have been made to the EEA Joint Committee (*).

Article 3

This Decision shall be published in the EEA Section of, and in the EEA Supplement to, the Official Journal of the
European Union.

Article 4

Done at Brussels, 27 April 2007.

For the EEA Joint Committee

The President

Alan SEATTER

(*) Constitutional requirements indicated.