德国和欧盟经济法数据库

 Commission delegated Directive (EU) .../… supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to safeguarding of financial instruments and funds belonging to clients, product governance obligations and the rules applicable to the provision or reception of fees, commissions or any monetary or non-monetary benefits

I. 描述

The Delegated Directive is based on 2 empowerments in  MiFID II and should be read together with the  MiFID II Delegated Regulation and the   MiFIR Delegated Regulation. The draft Delegated Directive sets out the governance and organisational arrangements to ensure the safeguarding of client financial instruments and funds. The product governance rules concern both investment firms that manufacture financial instruments as well as investment firms that distribute them to clients. At least the directive sets out the rules with which an investment firm has to comply when providing or receiving fees, commissions or any monetary or non-monetary benefits.

As far as the choice of the legal instrument is concerned, a directive was favoured for this area where measures and arrangements should take into account any applicable legal regimes that could affect the clients’ rights and their rights to property in particular.

II. 基本信息

标题

Commission delegated Directive (EU) .../… supplementing Directive   2014/65/EU of the European Parliament and of the Council with regard to safeguarding of financial instruments and funds belonging to clients, product governance obligations and the rules applicable to the provision or reception of fees, commissions or any monetary or non-monetary benefits

状态
保留
法规
保留
法案
Lamfalussy-通过的法案
框架法案
  Richtlinie 2014/65/EU

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目录

I. 描述
II. 基本信息