Regulations concerning investor protection

Official name

COMMISSION DELEGATED DIRECTIVE (EU) 2017/593 of 7 April 2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to safeguarding of financial instruments and funds belonging to clients, product governance obligations and the rules applicable to the provision or reception of fees, commissions or any monetary or non-monetary benefits

Type

Delegated Directive

Level 2

Initiator

EU

Submitted

07.04.2016

Doc. code

2017/593

Summary

Status

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Current version

Final version

07.04.2016

Next step

Entry into force

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Application date

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Scope

Relevant for

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Level 1

MiFID II (binding, Main version, EU)

AIFMD (binding, Main version, Amendment, EU)

Integration of sustainability factors in the product governance obligations (Amendment WAG 2018) (binding, Amendment, AT)

Level 2

Securities Services Code of Conduct and Organizational Regulations (binding, Main version, DE)

Integration of sustainability factors and preferences into the product governance obligations (binding, Amendment, EU)

Research on companies seeking alternative financing (updated rules in light of COVID-19) (binding, Amendment, EU)

Amendments to the research provisions in the MiFID II (binding, Amendment, EU)

Level 3 / Other

Q&A on MiFID II and MiFIR investor protection and intermediaries topics (binding, EU)

MiFID II compliance function requirements (binding, EU)