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+Article 2 5. |
Article 2 5.Member States shall require that investment firms make information pertaining to clients' financial instruments and funds readily available to the following entities: competent authorities, appointed insolvency practitioners and those responsible for the resolution of failed institutions. The information to be made available shall include the following:
(a)
related internal accounts and records that readily identify the balances of funds and financial instruments held for each client;
(b)
where client funds are held by investment firms in accordance with Article 4, details on the accounts in which client funds are held and on the relevant agreements with those firms;
(c)
where financial instruments are held by investment firms in accordance with Article 3, details on the accounts opened with third parties and on the relevant agreements with those third parties, as well as details on the relevant agreements with those investment firms;
(d)
details of third parties carrying out any related (outsourced) tasks and details of any outsourced tasks
(e)
key individuals of the firm involved in related processes, including those responsible for oversight of the firm's requirements in relation to the safeguarding of client assets; and
(f)
agreements relevant to establish client ownership over assets. 1. Visão geral
1.1 Referências1.2 Requisitos identificados1.3 Normas relacionadas2. Requisitos identificados
3. Normas relacionadas
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