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SECTION 1 Organisation

SECTION 1 Organisation

1. Przegląd

,
Article 21
Article 22
Article 23
Article 24

Article 24

Internal audit

(Article 16(5) of Directive 2014/65/EU)

Investment firms shall, where appropriate and proportionate in view of the nature, scale and complexity of their business and the nature and range of investment services and activities undertaken in the course of that business, establish and maintain an internal audit function which is separate and independent from the other functions and activities of the investment firm and which has the following responsibilities:

(a) 

establish, implement and maintain an audit plan to examine and evaluate the adequacy and effectiveness of the investment firm's systems, internal control mechanisms and arrangements;

(b) 

issue recommendations based on the result of work carried out in accordance with point (a) and verify compliance with those recommendations;

(c) 

report in relation to internal audit matters in accordance with Article 25(2).
Article 25
Article 26
Article 27
Article 28

Article 28

Scope of personal transactions

(Article 16(2) of Directive 2014/65/EU)

For the purposes of Article 29 and Article 37, a personal transaction shall be a trade in a financial instrument effected by or on behalf of a relevant person, where at least one of the following criteria are met:

(a) 

the relevant person is acting outside the scope of the activities he carries out in his professional capacity;

(b) 

the trade is carried out for the account of any of the following persons:

(i) 

the relevant person;

(ii) 

any person with whom he has a family relationship, or with whom he has close links;

(iii) 

a person in respect of whom the relevant person has a direct or indirect material interest in the outcome of the trade, other than obtaining a fee or commission for the execution of the trade.
Article 29

1.1 Odwołania

1.2 Zidentyfikowane wymagania

1.3 Powiązane normy

2. Zidentyfikowane wymagania

Wymagania

3. Powiązane normy

Normy