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+13. Without prejudice to Directive 2014/65/EU ( ) and Commission Delegated Regulation (EU) 2017/565 … |
13. Without prejudice to Directive 2014/65/EU ( ) and Commission Delegated Regulation (EU) 2017/565 …Without prejudice to Directive 2014/65/EU (26 ) and Commission Delegated Regulation (EU) 2017/565 (27 ) which contain specific requirements regarding outsourcing by credit institutions and investment firms providing investment services and performing investment activities, as well as relevant guidance issued by the European Securities and Markets Authority regarding investment services and activities, institutions as defined in point 3 of Article 3(1) of Directive 2013/36/EU, Class 1 minus (28 ) and Class 2 (29 ) investment firms should comply with these Guidelines on an individual basis, sub-consolidated basis and consolidated basis, as relevant. The application on an individual basis might be waived by competent authorities under Article 21 of Directive 2013/36/EU or Article 109(1) of Directive 2013/36/EU in conjunction with Article 7 of Regulation (EU) No 575/2013. Institutions subject to Directive 2013/36/EU should comply with these Guidelines on a consolidated and sub-consolidated basis as set out in Article 21 and Articles 108 to 110 of Directive 2013/36/EU. Class 2 investment firms subject to Directive 2019/2034/EU should comply with these Guidelines on a consolidated basis in accordance with Article 25 of Directive (EU) 2019/2034. 26 Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Directive 2002/92/EC and Directive 2011/61/EU (OJ L 173, 12.6.2014, pp. 349 – 496, ELI: http://data.europa.eu/eli/dir/2014/65/oj). 27 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 (OJ L 87, 31.3.2017, pp. 1 – 83, ELI: http://data.europa.eu/eli/reg_del/2017/565/oj). 28 This category of investment firms refers to investment firms as defined in point (1) of Article 4(1) of Directive (EU) 2014/65 that are subject to Title VII of Directive 2013/36/EU in application of Article 1(2) and (5) of Regulation (EU) 2019/2033. 29 This category of investment firms refers to investment firms that do not fall under Article 2(2) of Directive (EU) 2019/2034 and do not meet the conditions to qualify as small and non-interconnected investment firms under Article 12(1) of Regulation (EU) 2019/2033. 1. Apžvalga
1.1 Nuorodos
1.2 Nustatyti reikalavimai1.3 Susiję standartai2. Nustatyti reikalavimai
3. Susiję standartai
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