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Section 1 Information to clients and potential clients (arts. 44-51) |
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Article 44 Fair, clear and not misleading information requirements |
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Article 45 Information concerning client categorisation |
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Article 46 General requirements for information to clients |
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Article 47 Information about the investment firm and its services for clients and potential clients |
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Article 48 Information about financial instruments |
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Article 49 Information concerning safeguarding of client financial instruments or client funds |
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Article 50 Information on costs and associated charges |
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Article 51 Information provided in accordance with Directive 2009/65/EU and Regulation (EU) No 1286/2014 |
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Section 2 Investment advice (arts. 52-53) |
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Article 52 Information about investment advice |
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Article 53 Investment advice on an independent basis |
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Section 3 Assessment of suitability and appropriateness (arts. 54-58) |
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Article 54 Assessment of suitability and suitability reports |
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Article 55 Provisions common to the assessment of suitability or appropriateness |
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Article 56 Assessment of appropriateness and related record-keeping obligations |
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Article 57 Provision of services in non-complex instruments |
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Article 58 Retail and Professional Client agreements |
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Section 4 Reporting to clients (arts. 59-63) |
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Article 59 Reporting obligations in respect of execution of orders other than for portfolio management |
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Article 60 Reporting obligations in respect of portfolio management |
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Article 61 Reporting obligations in respect of eligible counterparties |
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Article 62 Additional reporting obligations for portfolio management or contingent liability transactions |
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Article 63 Statements of client financial instruments or client funds |
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Section 5 Best execution (arts. 64-66) |
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Article 64 Best execution criteria |
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Article 65 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 66 Execution policy |
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Section 6 Client order handling (arts. 67-70) |
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Article 67 General principles |
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Article 68 Aggregation and allocation of orders |
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Article 69 Aggregation and allocation of transactions for own account |
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Article 70 Prompt fair and expeditious execution of client orders and publication of unexecuted client limit orders for shares traded on a trading venue |
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Section 7 Eligible counterparties (art. 71) |
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Article 71 Eligible counterparties |
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Section 8 Record-keeping (arts. 72-76) |
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Article 72 Retention of records |
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Article 73 Record keeping of rights and obligations of the investment firm and the client |
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Article 74 Record keeping of client orders and decision to deal |
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Article 75 Record keeping of transactions and order processing |
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Article 76 Recording of telephone conversations or electronic communications |
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Section 9 SME growth markets (arts. 77-79) |
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Article 77 Qualification as an SME |
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Article 78 Registration as an SME growth market |
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Article 79 Deregistration as an SME growth market |
