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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 III Operating Conditions for Investment Firms (arts. 44-79) 
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Chapter III Operating Conditions for Investment Firms (arts. 44-79) 

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