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