What Directive 2014/65/EU on markets in financial instruments (MiFID II) Article 16: Organisational requirements requires
This article requires investment firms to establish and maintain robust organisational, administrative, and governance arrangements to ensure compliance with regulations, manage conflicts of interest, and safeguard client assets.
Pillar: Banking & Global Finance · Authority: European Securities and Markets Authority (ESMA) · Version: 1.0.0 · Last updated:
Primary source: https://eur-lex.europa.eu/legal-content/EN/TXT/HTML/?uri=CELEX:32014L0065
SHA-256 integrity: 8c72f7acac4b9e29c889b462c3830fc595a3bd78f5c18043937a5322422eeea4
Primary Citations — 7 traced to source
- Article 16, paragraph 2: An investment firm shall establish, implement and maintain adequate policies and procedures sufficient to ensure compliance of the firm including its managers, employees and tied agents with its obligations under this Directive.
- Article 16, paragraph 3: An investment firm shall maintain and operate effective organisational and administrative arrangements with a view to taking all reasonable steps designed to prevent conflicts of interest... from adversely affecting the interests of its clients.
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