In force since 02/07/2014

Version from: 23/03/2023
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Markets in Financial Instruments Directive (MiFID II)

Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Directive 2002/92/EC and Directive 2011/61/EU (recast) (Text with EEA relevance)

Recitals
Article 5 - Requirement for authorisation Q&AArticle 6 - Scope of authorisation Q&AArticle 7 - Procedures for granting and refusing requests for authorisation ITS/RTSQ&AGLArticle 8 - Withdrawal of authorisations Q&AArticle 9 - Management body GLArticle 10 - Shareholders and members with qualifying holdings Article 11 - Notification of proposed acquisitions GLArticle 12 - Assessment period ITS/RTSGLArticle 13 - Assessment GLArticle 14 - Membership of an authorised investor compensation scheme Article 15 - Initial capital endowment Article 16 - Organisational requirements ITS/RTSQ&AGLArticle 16a - Exemptions from product governance requirements Q&AArticle 17 - Algorithmic trading ITS/RTSQ&AArticle 18 - Trading process and finalisation of transactions in an MTF and an OTF ITS/RTSQ&AGLArticle 19 - Specific requirements for MTFs Q&AGLArticle 20 - Specific requirements for OTFs Q&A
Article 24 - General principles and information to clients ITS/RTSQ&AGLArticle 25 - Assessment of suitability and appropriateness and reporting to clients ITS/RTSQ&AGLArticle 26 - Provision of services through the medium of another investment firm Article 27 - Obligation to execute orders on terms most favourable to the client ITS/RTSQ&AArticle 28 - Client order handling rules ITS/RTSArticle 29 - Obligations of investment firms when appointing tied agents Article 29a - Services provided to professional clients Article 30 - Transactions executed with eligible counterparties ITS/RTS
Article 44 - Authorisation and applicable law Article 45 - Requirements for the management body of a market operator Q&AGLArticle 46 - Requirements relating to persons exercising significant influence over the management of the regulated market Article 47 - Organisational requirements Q&AGLArticle 48 - Systems resilience, circuit breakers and electronic trading ITS/RTSQ&AGLArticle 49 - Tick sizes ITS/RTSQ&AArticle 50 - Synchronisation of business clocks ITS/RTSGLArticle 51 - Admission of financial instruments to trading ITS/RTSArticle 52 - Suspension and removal of financial instruments from trading on a regulated market ITS/RTSArticle 53 - Access to a regulated market Q&AArticle 54 - Monitoring of compliance with the rules of the regulated market and with other legal obligations ITS/RTSArticle 55 - Provisions regarding CCP and clearing and settlement arrangements Article 56 - List of regulated markets
Article 67 - Designation of competent authorities Article 68 - Cooperation between authorities in the same Member State Article 69 - Supervisory powers Article 70 - Sanctions for infringements Article 71 - Publication of decisions ITS/RTSArticle 72 - Exercise of supervisory powers and powers to impose sanctions Article 73 - Reporting of infringements Article 74 - Right of appeal Article 75 - Extra-judicial mechanism for consumers complaints Article 76 - Professional secrecy Article 77 - Relations with auditors Article 78 - Data protection
Article 79 - Obligation to cooperate ITS/RTSArticle 80 - Cooperation between competent authorities in supervisory activities, for on-site verifications or investigations ITS/RTSArticle 81 - Exchange of information ITS/RTSArticle 82 - Binding mediation Article 83 - Refusal to cooperate Article 84 - Consultation prior to authorisation ITS/RTSArticle 85 - Powers for host Member States Article 86 - Precautionary measures to be taken by host Member States Article 87 - Cooperation and exchange of information with ESMA
ANNEX I Q&AGLANNEX II Q&AANNEX III ANNEX IV