+29. Competent authorities should ensure that the sale or disposal of financial instruments referred …
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29. Competent authorities should ensure that the sale or disposal of financial instruments referred …
Competent authorities should ensure that the sale or disposal of financial instruments referred to in Article 4a(8) of Directive 2013/36/EU is subject to prior approval by the competent authority’s ethics, compliance or equivalent function in charge of monitoring compliance with the conflicts of interest policy.
1. Overview
1.1 References
1.2 Identified Requirements
1.3 Related Standards
2. Identified Requirements
Requirements
| Source |
Requirement |
3. Related Standards
Standards
| Source |
Requirement |
- EBA - Published by the European Banking Authority at https://www.eba.europa.eu/
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