CHAPTER II SAFEGUARDING OF CLIENT FINANCIAL INSTRUMENTS AND FUNDS

1. Áttekintés

Megnevezés	Szabályozás
Article 2 Safeguarding of client financial instruments and funds
Article 3 Depositing client financial instruments
Article 4 Depositing client funds
Article 5 Use of client financial instruments
Article 6 Inappropriate use of title transfer collateral arrangements
Article 7 Governance arrangements concerning the safeguarding of client assets	Article 7 Governance arrangements concerning the safeguarding of client assets Member States shall ensure that investment firms appoint a single officer of sufficient skill and authority with specific responsibility for matters relating to the compliance by firms with their obligations regarding the safeguarding of client financial instruments and funds. Member States shall allow investment firms to decide, ensuring full compliance with this Directive, whether the appointed officer is to be dedicated solely to this task or whether the officer can discharge responsibilities effectively whilst having additional responsibilities.
Article 8 Reports by external auditors	Article 8 Reports by external auditors Member States shall require investment firms to ensure that their external auditors report at least annually to the competent authority of the home Member State of the firm on the adequacy of the firm's arrangements under Article 16(8), (9) and (10) of Directive 2014/65/EU and this Chapter.

Követelmények
Forrás	Követelmény

Szabványok
Forrás	Követelmény