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Commission Delegated Regulation (EU) 2017/565Show full title
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 (Text with EEA relevance)
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Article 28Scope 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.
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