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  2. Legislation (EU)
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  4. 2017
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  1. 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 (Text with EEA relevance) (MiFID II Delegated Regulation)
  2. Chapter II Organisational Requirements (arts. 21-43)
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Chapter II Organisational Requirements (arts. 21-43)

Comparing proposed amendment...
Section 1 Organisation (arts. 21-29)
Amended
 Article 21 General organisational requirements
Applicable
 Article 22 Compliance
Amended
 Article 23 Risk management
Applicable
 Article 24 Internal audit
Applicable
 Article 25 Responsibility of senior management
Applicable
 Article 26 Complaints handling
Applicable
 Article 27 Remuneration policies and practices
Applicable
 Article 28 Scope of personal transactions
Applicable
 Article 29 Personal transactions
Section 2 Outsourcing (arts. 30-32)
Applicable
 Article 30 Scope of critical and important operational functions
Applicable
 Article 31 Outsourcing critical or important operational functions
Applicable
 Article 32 Service providers located in third countries
Section 3 Conflicts of interest (arts. 33-43)
Amended
 Article 33 Conflicts of interest potentially detrimental to a client
Applicable
 Article 34 Conflicts of interest policy
Applicable
 Article 35 Record of services or activities giving rise to detrimental conflict of interest
Applicable
 Article 36 Investment research and marketing communications
Applicable
 Article 37 Additional organisational requirements in relation to investment research or marketing communications
Applicable
 Article 38 Additional general requirements in relation to underwriting or placing
Applicable
 Article 39 Additional requirements in relation to pricing of offerings in relation to issuance of financial instruments
Applicable
 Article 40 Additional requirements in relation to placing
Applicable
 Article 41 Additional requirements in relation to advice, distribution and self-placement
Applicable
 Article 42 Additional requirements in relation to lending or provision of credit in the context of underwriting or placement
Applicable
 Article 43 Record keeping in relation to underwriting or placing
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