senior management

Definitions over time (1)

01/07/2016 – 31/12/2019 Article 4, Directive 2014/65/EU (MIFID II) Scope: Whole act

For the purposes of this Directive, the following definitions apply:

‘senior management’ means natural persons who exercise executive functions within an investment firm, a market operator or a data reporting services provider and who are responsible, and accountable to the management body, for the day-to-day management of the entity, including for the implementation of the policies concerning the distribution of services and products to clients by the firm and its personnel;

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No text uses this concept on 12/11/2026.