senior management
Defined in Article 4, Directive 2014/65/EU (MIFID II)
Definitions over time (3)
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01/01/2022 – today applies on 11/11/2026 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 as defined in point (36a) of Article 2(1) of Regulation (EU) No 600/2014, 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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31/12/2019 – 01/01/2022 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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17/09/2014 – 01/07/2016 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;
Earlier definition records in this act (2)
Open an entry to see its definitions, dates and uses. Separate scopes and histories are kept intact.
- Article 4(1)(37) Historical · definitions end 17/09/2014
- Article 4(1)(37) Historical · definitions end 31/12/2019