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TITLE II AUTHORISATION AND OPERATING CONDITIONS FOR INVESTMENT FIRMS
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Regulation - CHAPTER II Operating conditions for investment firms
+CHAPTER II Operating conditions for investment firms
---+Section 1 General provisions
------+Article 21 Regular review of conditions for initial authorisation
---------+Article 21 1.
---------+Article 21 2.
------+Article 22 General obligation in respect of on-going supervision
------+Article 23 Conflicts of interest
---------+Article 23 1.
---------+Article 23 2.
---------+Article 23 3.
---------+Article 23 4.
---+Section 2 Provisions to ensure investor protection
------+Article 24 General principles and information to clients
---------+Article 24 1.
---------+Article 24 2.
---------+Article 24 3.
---------+Article 24 3a.
---------+Article 24 3b.
---------+Article 24 3c.
---------+Article 24 3d.
---------+Article 24 3e.
---------+Article 24 4.
---------+Article 24 5.
---------+Article 24 5a.
---------+Article 24 6.
---------+Article 24 7.
---------+Article 24 8.
---------+Article 24 9.
---------+Article 24 9a.
---------+Article 24 10.
---------+Article 24 11.
---------+Article 24 12.
---------+Article 24 13.
---------+Article 24 14.
------+Article 25 Assessment of suitability and appropriateness and reporting to clients
---------+Article 25 1.
---------+Article 25 2.
---------+Article 25 3.
---------+Article 25 4.
---------+Article 25 5.
---------+Article 25 6.
---------+Article 25 7.
---------+Article 25 8.
---------+Article 25 9.
---------+Article 25 10.
---------+Article 25 11.
------+Article 26 Provision of services through the medium of another investment firm
------+Article 27 Obligation to execute orders on terms most favourable to the client
---------+Article 27 1.
---------+Article 27 3.
---------+Article 27 4.
---------+Article 27 5.
---------+Article 27 7.
---------+Article 27 8.
---------+Article 27 9.
---------+Article 27 10.
------+Article 28 Client order handling rules
---------+Article 28 1.
---------+Article 28 2.
---------+Article 28 3.
------+Article 29 Obligations of investment firms when appointing tied agents
---------+Article 29 1.
---------+Article 29 2.
---------+Article 29 3.
---------+Article 29 4.
---------+Article 29 5.
---------+Article 29 6.
------+Article 29a Services provided to professional clients
---------+Article 29a 1.
---------+Article 29a 2.
---------+Article 29a 3.
------+Article 30 Transactions executed with eligible counterparties
---------+Article 30 1.
---------+Article 30 2.
---------+Article 30 3.
---------+Article 30 4.
---------+Article 30 5.
---+Section 3 Market transparency and integrity
------+Article 31 Monitoring of compliance with the rules of the MTF or the OTF and with other legal obligations
---------+Article 31 1.
---------+Article 31 2.
---------+Article 31 3.
---------+Article 31 4.
------+Article 32 Suspension and removal of financial instruments from trading on an MTF or an OTF
---------+Article 32 1.
---------+Article 32 2.
---------+Article 32 3.
---------+Article 32 4.
---+Section 4 SME growth markets
------+Article 33 SME growth markets
---------+Article 33 1.
---------+Article 33 2.
---------+Article 33 3.
---------+Article 33 3a.
---------+Article 33 4.
---------+Article 33 5.
---------+Article 33 6.
---------+Article 33 7.
---------+Article 33 8.
---------+Article 33 9.
CHAPTER II Operating conditions for investment firms
CHAPTER II Operating conditions for investment firms
1. Apžvalga
Pavadinimas
Reguliavimas
Section 1 General provisions
Section 1 General provisions
Section 2 Provisions to ensure investor protection
Section 2 Provisions to ensure investor protection
Section 3 Market transparency and integrity
Section 3 Market transparency and integrity
Section 4 SME growth markets
Section 4 SME growth markets
,
1.1 Nuorodos
1.2 Nustatyti reikalavimai
1.3 Susiję standartai
2. Nustatyti reikalavimai
Reikalavimai
Šaltinis
Reikalavimas
3. Susiję standartai
Standartai
Šaltinis
Reikalavimas
Builddate: 06.06.2026 00:00:00 -Doknr: CELEX:32014L0065
EULAW
-
European Regulation published on
http://eur-lex.europa.eu/