Organisational requirements and operating conditions for investment firms

Topic area:
Status: 30.03.2018 |
Archived
Key words:
Amendment
Initiative
Official name
REGULATIONS COMMISSION DELEGATED REGULATION (EU) 2017/565 of 25 April 2016 supplementing Directive 2014/65/EU 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
Type
Delegated Regulation
Level 2
Initiator
EU
Submitted
24.04.2016
Doc. code
2017/565
Summary
Status
Status

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Current version
Final version
25.04.2016
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
Promoting the use of SME growth markets (binding, Amendment, EU)
Level 2
Registration conditions to promote the use of SME growth markets (binding, EU)
Minimum requirements for custody business (MaDepot) (binding, DE)
Standardised format of statement of fees and symbols under the PAD (binding, Supplement, EU)
Specification of the definition of systematic internalisers under MiFID II (binding, EU)
Wertpapierdienstleistungs-Prüfungsverordnung - WpDPV (binding, Supplement, DE)
Securities Services Code of Conduct and Organizational Regulations (binding, Main version, DE)
Integration of sustainability factors, risks and preferences into organisational requirements for investment firms (binding, EU)
Correction RTS for organisational requirements for investment firms (binding, EU)
Level 3 / Other
Q&A on MiFID II and MiFIR transparency topics (binding, EU)
Q&A on MiFID II and MiFIR market structure (binding, EU)
Q&A on MiFID II and MiFIR investor protection and intermediaries topics (binding, EU)
Guidelines on the application of C6 and C7 of Annex 1 of MiFID II (binding, EU)
MiFID II compliance function requirements (binding, EU)
Beschwerdebericht nach Art. 26 DVO zu MiFID II (binding, DE)
Exemption for forward exchange transactions according to MiFID II (binding, DE)
Transactions of employees with financial instruments under MiFID II (binding, AT)
Data for systematic internaliser calculations (non-binding, EU)
Integration of sustainability risks and sustainability factors (non-binding, EU)
MiFID II supervisory briefing on the supervision of non-EU branches of EU firms (non-binding, EU)
Supervisory briefing on MiFID II suitability requirements (non-binding, EU)
MiFID II/MiFIR obligations on market data (binding, EU)
MiFID II appropriateness and execution-only requirements (binding, EU)
Update of the organizational circular WAG 2018 (binding, AT)
Requirements for information including marketing communications for investment services (binding, AT)
Revision of the IDW auditing standard on EMIR auditing (non-binding, DE)
Review of MiFID II suitability guidelines (binding, EU)
Guidelines on certain aspects of the MiFID II remuneration requirements (binding, Supplement, EU)
Revised basic rules for the provision of information on financial products (Beleidsregel Informatieverstrekking) (binding, Supplement, NL)

Source: EU, 2017/565, 2016