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Section 1 General provisions (arts. 21-23) |
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⚠ Article 21 Regular review of conditions for initial authorisation |
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Article 22 General obligation in respect of on-going supervision |
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Article 23 Conflicts of interest |
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Section 2 Provisions to ensure investor protection (arts. 24-30) |
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⚠ Article 24 General principles and information to clients |
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⚠ Draft Article 24a Inducements |
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⚠ Draft Article 24b Information on costs, associated charges and third-party payments |
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⚠ Draft Article 24c Marketing Communications and Practices |
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⚠ Draft Article 24d Professional requirements |
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⚠ Article 25 Assessment of suitability and appropriateness and reporting to clients |
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Article 26 Provision of services through the medium of another investment firm |
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Article 27 Obligation to execute orders on terms most favourable to the client |
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Article 28 Client order handling rules |
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Article 29 Obligations of investment firms when appointing tied agents |
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Article 29a Services provided to professional clients |
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⚠ Article 30 Transactions executed with eligible counterparties |
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Section 3 Market transparency and integrity (arts. 31-32) |
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Article 31 Monitoring of compliance with the rules of the MTF or the OTF and with other legal obligations |
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Article 32 Suspension and removal of financial instruments from trading on an MTF or an OTF |
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Section 4 SME growth markets (art. 33) |
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Article 33 SME growth markets |
