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Section 1 Inducements (art. 26) |
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Article 26 Inducements |
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Section 2 Information to clients and potential clients (arts. 27-34) |
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Article 27 Conditions with which information must comply in order to be fair, clear
and not misleading |
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Article 28 Information concerning client categorisation |
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Article 29 General requirements for information to clients |
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Article 30 Information about the investment firm and its services for retail clients
and potential retail clients |
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Article 31 Information about financial instruments |
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Article 32 Information requirements concerning safeguarding of client financial
instruments or client funds |
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Article 33 Information about costs and associated charges |
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Article 34 Information drawn up in accordance with Directive 85/611/EEC |
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Section 3 Assessment of suitability and appropriateness (arts. 35-39) |
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Article 35 Assessment of suitability |
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Article 36 Assessment of appropriateness |
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Article 37 Provisions common to the assessment of suitability or appropriateness |
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Article 38 Provision of services in non-complex instruments |
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Article 39 Retail client agreement |
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Section 4 Reporting to clients (arts. 40-43) |
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Article 40 Reporting obligations in respect of execution of orders other than for
portfolio management |
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Article 41 Reporting obligations in respect of portfolio management |
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Article 42 Additional reporting obligations for portfolio management or contingent
liability transactions |
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Article 43 Statements of client financial instruments or client funds |
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Section 5 Best execution (arts. 44-46) |
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Article 44 Best execution criteria |
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Article 45 Duty of investment firms carrying out portfolio management and reception
and transmission of orders to act in the best interests of the client |
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Article 46 Execution policy |
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Section 6 Client order handling (arts. 47-49) |
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Article 49 Aggregation and allocation of transactions for own account |
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Article 48 Aggregation and allocation of orders |
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Article 47 General principles |
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Section 7 Eligible counterparties (art. 50) |
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Article 50 Eligible counterparties |
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Section 8 Record-keeping (art. 51) |
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Article 51 Retention of records |
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Section 9 Defined terms for the purposes of Directive 2004/39/EC (art.
52) |
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Article 52 Investment advice |
