Regulations concerning investor protection
Initiative
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
Status
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Current version
Final version
Next step
Entry into force and application
Entry into force
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Application date
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Scope
Relevant for
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Associated initiatives
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, 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
MiFID II compliance function requirements
(binding, EU)
Source: EU, 2017/593, 2016