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Section 1 Organisation (arts. 5-12) |
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Article 5 General organisational requirements |
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Article 6 Compliance |
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Article 7 Risk management |
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Article 8 Internal audit |
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Article 9 Responsibility of senior management |
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Article 10 Complaints handling |
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Article 11 Meaning of personal transaction |
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Article 12 Personal transactions |
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Section 2 Outsourcing (arts. 13-15) |
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Article 13 Meaning of critical and important operational functions |
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Article 14 Conditions for outsourcing critical or important operational functions or
investment services or activities |
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Article 15 Service providers located in third countries |
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Section 3 Safeguarding of client assets (arts. 16-20) |
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Article 16 Safeguarding of client financial instruments and funds |
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Article 17 Depositing client financial instruments |
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Article 18 Depositing client funds |
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Article 19 Use of client financial instruments |
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Article 20 Reports by external auditors |
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Section 4 Conflicts of interest (arts. 21-25) |
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Article 21 Conflicts of interest potentially detrimental to a client |
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Article 22 Conflicts of interest policy |
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Article 23 Record of services or activities giving rise to detrimental conf lict of
interest |
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Article 24 Investment research |
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Article 25 Additional organisational requirements where a firm produces and
disseminates investment research |
