MiFID II
Sectors
Articles (102)
Article 1 — ScopeArticle 2 — ExemptionsArticle 3 — Optional exemptionsArticle 4 — DefinitionsArticle 5 — Requirement for authorisationArticle 6 — Scope of authorisationArticle 7 — Procedures for granting and refusing requests for authorisationArticle 8 — Withdrawal of authorisationsArticle 9 — Management bodyArticle 10 — Shareholders and members with qualifying holdingsArticle 11 — Notification of proposed acquisitionsArticle 12 — Assessment periodArticle 13 — AssessmentArticle 14 — Membership of an authorised investor compensation schemeArticle 15 — Initial capital endowmentArticle 16 — Organisational requirementsArticle 17 — Algorithmic tradingArticle 18 — Trading process and finalisation of transactions in an MTF and an OTFArticle 19 — Specific requirements for MTFsArticle 20 — Specific requirements for OTFsArticle 21 — Regular review of conditions for initial authorisationArticle 22 — General obligation in respect of on-going supervisionArticle 23 — Conflicts of interestArticle 24 — General principles and information to clientsArticle 25 — Assessment of suitability and appropriateness and reporting to clientsArticle 26 — Provision of services through the medium of another investment firmArticle 27 — Obligation to execute orders on terms most favourable to the clientArticle 28 — Client order handling rulesArticle 29 — Obligations of investment firms when appointing tied agentsArticle 30 — Transactions executed with eligible counterpartiesArticle 31 — Monitoring of compliance with the rules of the MTF or the OTF and with other legal obligationsArticle 32 — Suspension and removal of financial instruments from trading on an MTF or an OTFArticle 33 — SME growth marketsArticle 34 — Freedom to provide investment services and activitiesArticle 35 — Establishment of a branchArticle 36 — Access to regulated marketsArticle 37 — Access to CCP, clearing and settlement facilities and right to designate settlement systemArticle 38 — Provisions regarding CCPs, clearing and settlement arrangements in respect of MTFsArticle 39 — Establishment of a branchArticle 40 — Obligation to provide informationArticle 41 — Granting of the authorisationArticle 42 — Provision of services at the exclusive initiative of the clientArticle 43 — Withdrawal of authorisationsArticle 44 — Authorisation and applicable lawArticle 45 — Requirements for the management body of a market operatorArticle 46 — Requirements relating to persons exercising significant influence over the management of the regulated marketArticle 47 — Organisational requirementsArticle 48 — Systems resilience, circuit breakers and electronic tradingArticle 49 — Tick sizesArticle 50 — Synchronisation of business clocksArticle 51 — Admission of financial instruments to tradingArticle 52 — Suspension and removal of financial instruments from trading on a regulated marketArticle 53 — Access to a regulated marketArticle 54 — Monitoring of compliance with the rules of the regulated market and with other legal obligationsArticle 55 — Provisions regarding CCP and clearing and settlement arrangementsArticle 56 — List of regulated marketsArticle 57 — Position limits and position management controls in commodity derivativesArticle 58 — Position reporting by categories of position holdersArticle 59 — Requirement for authorisationArticle 60 — Scope of authorisationArticle 61 — Procedures for granting and refusing requests for authorisationArticle 62 — Withdrawal of authorisationsArticle 63 — Requirements for the management body of a data reporting services providerArticle 64 — Organisational requirementsArticle 65 — Organisational requirementsArticle 66 — Organisational requirementsArticle 67 — Designation of competent authoritiesArticle 68 — Cooperation between authorities in the same Member StateArticle 69 — Supervisory powersArticle 70 — Sanctions for infringementsArticle 71 — Publication of decisionsArticle 72 — Exercise of supervisory powers and powers to impose sanctionsArticle 73 — Reporting of infringementsArticle 74 — Right of appealArticle 75 — Extra-judicial mechanism for consumers complaintsArticle 76 — Professional secrecyArticle 77 — Relations with auditorsArticle 78 — Data protectionArticle 79 — Obligation to cooperateArticle 80 — Cooperation between competent authorities in supervisory activities, for on-site verifications or investigationsArticle 81 — Exchange of informationArticle 82 — Binding mediationArticle 83 — Refusal to cooperateArticle 84 — Consultation prior to authorisationArticle 85 — Powers for host Member StatesArticle 86 — Precautionary measures to be taken by host Member StatesArticle 87 — Cooperation and exchange of information with ESMAArticle 88 — Exchange of information with third countriesArticle 89 — Exercise of the delegationArticle 90 — Reports and reviewArticle 91 — Amendments to Directive 2002/92/ECArticle 13a — ScopeArticle 13b — Prevention of conflicts of interestArticle 13c — Conflicts of interestsArticle 13d — General principles and information to customersArticle 13e — Exercise of the delegationArticle 92 — Amendments to Directive 2011/61/EUArticle 93 — TranspositionArticle 94 — RepealArticle 95 — Transitional provisionsArticle 96 — Entry into forceArticle 97 — Addressees