Database on German and European Economic Law

 Regulation (EU) No 2017/586

I. Description

In order for competent authorities to be able to effectively monitor investment firms, market operators and data service providers, it is important for them to exchange relevant information on: general background information and constituting documents (including national incorporation documents, or other documents that provide an insight into the structure and operational activities of an entity); information relating to the authorisation process; information relating to the management bodies of investment firms, including for example information that can verify the suitability of members of the management body such as their work experience (including their curriculum vitae stating relevant education and training, previous professional experience and professional activities or other related functions currently required for the purposes of Directive   2014/65/EU); information on their reputation; information on shareholders and members with qualified holdings such as background corporate information and reputation; information on a firm's authorisation including information on those firms granted or refused authorisation; information on the organisation requirements of regulated markets; information on the authorisation of data service providers; information on waivers granted or refused to categorise clients as ‘professional’; information on sanctions and enforcement action; information on operational activities and relevant conduct and compliance history.

II. General Information

Title

Commission Delegated Regulation (EU) 2017/586 of 14 July 2016 supplementing Directive   2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for the exchange of information between competent authorities when cooperating in supervisory activities, on-the-spot verifications and investigations

Status
Existing
Regulation
(EU) No 2017/586
Source
O.J. EU No L (Legislation), Edition 87, Year 2017, p.382
Adoption
07/14/2016
Promulgation
03/31/2017
Character
Lamfalussy Implementing Act
Framework Act
 Regulation (EU) Nr. 600/2014

III. Versions and Legislative History

1. Versions

Titel
Allg. Daten
Textfassung

Original Text :
Commission Delegated Regulation (EU) 2017/586 of 14 July 2016 supplementing Directive   2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for the exchange of information between competent authorities when cooperating in supervisory activities, on-the-spot verifications and investigations

  (EU) No 2017/586

Beschluss:
07/14/2016 (A)
Verkuendung:
03/31/2017 (P)
(A) Adoption | (P) Promulgation

Legend

Legislative Act Status

Documents

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Overview

I. Description
II. General Information
III. Versions and Legislative History
1. Versions