What changes on 20/04/2017
The text in force from 11/03/2004 compared with the text from 20/04/2017.
52 inserted
0 amended
0 deleted
0 moved
Read the act as of 20/04/2017 · other versions:
Chapter I
- inserted Article 1 - General organisational requirements (Article 17(1) of Directive 2014/65/EU)
- inserted Article 2 - Role of the compliance function (Article 17(1) of Directive 2014/65/EU)
- inserted Article 3 - Staffing (Article 17(1) of Directive 2014/65/EU)
- inserted Article 4 - IT outsourcing and procurement (Article 17(1) of Directive 2014/65/EU)
Chapter II › Section I
- inserted Article 5 - General methodology (Article 17(1) of Directive 2014/65/EU)
- inserted Article 6 - Conformance testing (Article 17(1) of Directive 2014/65/EU)
- inserted Article 7 - Testing environments (Article 17(1) of Directive 2014/65/EU)
- inserted Article 8 - Controlled deployment of algorithms (Article 17(1) of Directive 2014/65/EU)
Chapter II › Section 2
- inserted Article 9 - Annual self-assessment and validation (Article 17(1) of Directive 2014/65/EU)
- inserted Article 10 - Stress testing (Article 17(1) of Directive 2014/65/EU)
- inserted Article 11 - Management of material changes (Article 17(1) of Directive 2014/65/EU)
Chapter II › Section 3
- inserted Article 12 - Kill functionality (Article 17(1) of Directive 2014/65/EU)
- inserted Article 13 - Automated surveillance system to detect market manipulation (Article 17(1) of Directive 2014/65/EU)
- inserted Article 14 - Business continuity arrangements (Article 17(1) of Directive 2014/65/EU)
- inserted Article 15 - Pre-trade controls on order entry (Article 17(1) of Directive 2014/65/EU)
- inserted Article 16 - Real-time monitoring (Article 17(1) of Directive 2014/65/EU)
- inserted Article 17 - Post-trade controls (Article 17(1) of Directive 2014/65/EU)
- inserted Article 18 - Security and limits to access (Article 17(1) of Directive 2014/65/EU)
Chapter III
- inserted Article 19 - General provisions for DEA (Article 17(5) of Directive 2014/65/EU)
- inserted Article 20 - Controls of DEA providers (Article 17(5) of Directive 2014/65/EU)
- inserted Article 21 - Specifications for the systems of DEA providers (Article 17(5) of Directive 2014/65/EU)
- inserted Article 22 - Due diligence assessment of prospective DEA clients (Article 17(5) of Directive 2014/65/EU)
- inserted Article 23 - Periodic review of DEA clients (Article 17(5) of Directive 2014/65/EU)
Chapter IV
- inserted Article 24 - Systems and controls of investment firms acting as general clearing members (Article 17(6) of Directive 2014/65/EU)
- inserted Article 25 - Due diligence assessments of prospective clearing clients (Article 17(6) of Directive 2014/65/EU)
- inserted Article 26 - Position limits (Article 17(6) of Directive 2014/65/EU)
- inserted Article 27 - Disclosure of information about the services provided (Article 17(6) of Directive 2014/65/EU)
Chapter V
- inserted Article 28 - Content and format of order records (Article 17(2) of Directive 2014/65/EU)
- inserted Article 29 - Entry into force and application (Article 17(2) of Directive 2014/65/EU)
Outside any heading
- inserted Recital 1
- inserted Recital 2
- inserted Recital 3
- inserted Recital 4
- inserted Recital 5
- inserted Recital 6
- inserted Recital 7
- inserted Recital 8
- inserted Recital 9
- inserted Recital 10
- inserted Recital 11
- inserted Recital 12
- inserted Recital 13
- inserted Recital 14
- inserted Recital 15
- inserted Recital 16
- inserted Recital 17
- inserted Recital 18
- inserted Recital 19
- inserted Recital 20
- inserted Preamble
- inserted Annex I
- inserted Annex II