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Commission Directive 2006/73/ECDangos y teitl llawn

Commission Directive 2006/73/EC of 10 August 2006 implementing Directive 2004/39/EC 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 (Text with EEA relevance)

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EU Directives are being published on this site to aid cross referencing from UK legislation. After IP completion day (31 December 2020 11pm) no further amendments will be applied to this version.

  1. Introductory Text

  2. CHAPTER I SCOPE AND DEFINITIONS

    1. Article 1.Subject-matter and scope

    2. Article 2.Definitions

    3. Article 3.Conditions applying to the provision of information

    4. Article 4.Additional requirements on investment firms in certain cases

  3. CHAPTER II ORGANISATIONAL REQUIREMENTS

    1. SECTION 1 Organisation

      1. Article 5.(Article 13(2) to (8) of Directive 2004/39/EC)General organisational requirements

      2. Article 6.(Article 13(2) of Directive 2004/39/EC)Compliance

      3. Article 7.(second subparagraph of Article 13(5) of Directive 2004/39/EC)Risk management

      4. Article 8.(second subparagraph of Article 13(5) of Directive 2004/39/EC)Internal audit

      5. Article 9.(Article 13(2) of Directive 2004/39/EC)Responsibility of senior management

      6. Article 10.(Article 13(2) of Directive 2004/39/EC)Complaints handling

      7. Article 11.(Article 13(2) of Directive 2004/39/EC)Meaning of personal transaction

      8. Article 12.(Article 13(2) of Directive 2004/39/EC)Personal transactions

    2. SECTION 2 Outsourcing

      1. Article 13.(Article 13(2) and first subparagraph of Article 13(5) of Directive 2004/39/EC)Meaning of critical and important operational functions

      2. Article 14.(Article 13(2) and first subparagraph of Article 13(5) of Directive 2004/39/EC)Conditions for outsourcing critical or important operational functions or investment services or activities

      3. Article 15.(Article 13(2) and first subparagraph of Article 13(5) of Directive 2004/39/EC)Service providers located in third countries

    3. SECTION 3 Safeguarding of client assets

      1. Article 16.(Article 13(7) and (8) of Directive 2004/39/EC)Safeguarding of client financial instruments and funds

      2. Article 17.(Article 13(7) of Directive 2004/39/EC)Depositing client financial instruments

      3. Article 18.(Article 13(8) of Directive 2004/39/EC)Depositing client funds

      4. Article 19.(Article 13(7) of Directive 2004/39/EC)Use of client financial instruments

      5. Article 20.(Article 13(7) and (8) of Directive 2004/39/EC)Reports by external auditors

    4. SECTION 4 Conflicts of interest

      1. Article 21.(Articles 13(3) and 18 of Directive 2004/39/EC)Conflicts of interest potentially detrimental to a client

      2. Article 22.(Articles 13(3) and 18(1) of Directive 2004/39/EC)Conflicts of interest policy

      3. Article 23.(Article 13(6) of Directive 2004/39/EC)Record of services or activities giving rise to detrimental conflict of interest

      4. Article 24.(Article 19(2) of Directive 2004/39/EC)Investment research

      5. Article 25.(Article 13(3) of Directive 2004/39/EC)Additional organisational requirements where a firm produces and disseminates investment research

  4. CHAPTER III OPERATING CONDITIONS FOR INVESTMENT FIRMS

    1. SECTION 1 Inducements

      1. Article 26.(Article 19(1) of Directive 2004/39/EC)Inducements

    2. SECTION 2 Information to clients and potential clients

      1. Article 27.(Article 19(2) of Directive 2004/39/EC)Conditions with which information must comply in order to be fair, clear and not misleading

      2. Article 28.(Article 19(3) of Directive 2004/39/EC)Information concerning client categorisation

      3. Article 29.(Article 19(3) of Directive 2004/39/EC)General requirements for information to clients

      4. Article 30.(first indent of Article 19(3) of Directive 2004/39/EC)Information about the investment firm and its services for retail clients and potential retail clients

      5. Article 31.(second indent of Article 19(3) of Directive 2004/39/EC)Information about financial instruments

      6. Article 32.(first indent of Article 19(3) of Directive 2004/39/EC)Information requirements concerning safeguarding of client financial instruments or client funds

      7. Article 33.(fourth indent of Article 19(3) of Directive 2004/39/EC)Information about costs and associated charges

      8. Article 34.(second and fourth indent of Article 19(3) of Directive 2004/39/EC)Information drawn up in accordance with Directive 85/611/EEC

    3. SECTION 3 Assessment of suitability and appropriateness

      1. Article 35.(Article 19(4) of Directive 2004/39/EC)Assessment of suitability

      2. Article 36.(Article 19(5) of Directive 2004/39/EC)Assessment of appropriateness

      3. Article 37.(Article 19(4) and (5) of Directive 2004/39/EC)Provisions common to the assessment of suitability or appropriateness

      4. Article 38.(first indent of Article 19(6) of Directive 2004/39/EC)Provision of services in non-complex instruments

      5. Article 39.(Article 19(1) and 19(7) of Directive 2004/39/EC)Retail client agreement

    4. SECTION 4 Reporting to clients

      1. Article 40.(Article 19(8) of Directive 2004/39/EC)Reporting obligations in respect of execution of orders other than for portfolio management

      2. Article 41.(Article 19(8) of Directive 2004/39/EC)Reporting obligations in respect of portfolio management

      3. Article 42.(Article 19(8) of Directive 2004/39/EC)Additional reporting obligations for portfolio management or contingent liability transactions

      4. Article 43.(Article 19(8) of Directive 2004/39/EC)Statements of client financial instruments or client funds

    5. SECTION 5 Best execution

      1. Article 44.(Articles 21(1) and 19(1) of Directive 2004/39/EC)Best execution criteria

      2. Article 45.(Article 19(1) of Directive 2004/39/EC)Duty of investment firms carrying out portfolio management and reception and transmission of orders to act in the best interests of the client

      3. Article 46.(Article 21(3) and (4) of Directive 2004/39/EC)Execution policy

    6. SECTION 6 Client order handling

      1. Article 47.(Articles 22(1) and 19(1) of Directive 2004/39/EC)General principles

      2. Article 48.(Articles 22(1) and 19(1) of Directive 2004/39/EC)Aggregation and allocation of orders

      3. Article 49.(Articles 22(1) and 19(1) of Directive 2004/39/EC)Aggregation and allocation of transactions for own account

    7. SECTION 7 Eligible counterparties

      1. Article 50.(Article 24(3) of Directive 2004/39/EC)Eligible counterparties

    8. SECTION 8 Record-keeping

      1. Article 51.(Article 13(6) of Directive 2004/39(EC)Retention of records

    9. SECTION 9 Defined terms for the purposes of Directive 2004/39/EC

      1. Article 52.(Article 4(1)(4) of Directive 2004/39/EC)Investment advice

  5. CHAPTER IV FINAL PROVISIONS

    1. Article 53.Transposition

    2. Article 54.Entry into force

    3. Article 55.Addressees

  6. Signature

Yn ôl i’r brig

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