What Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments (MiFID II), Article 23: Conflicts of interest requires
Investment firms must take all appropriate steps to identify, prevent, or manage conflicts of interest, and where these measures are insufficient, they must disclose the nature and sources of such conflicts to clients before undertaking business.
Pillar: Banking & Global Finance · Authority: European Parliament and Council of the European Union · Version: 1.0.0 · Last updated:
Primary source: https://eur-lex.europa.eu/legal-content/EN/TXT/HTML/?uri=CELEX:32014L0065
SHA-256 integrity: 80fb089297b6eb74c641646971478af2d2e2996842af5a167176fa2fbba25c7e
Primary Citations — 6 traced to source
- Article 23(1): Member States shall require investment firms to take all appropriate steps to identify and to prevent or manage conflicts of interest between themselves, including their managers, employees and tied agents, or any person directly or indirectly linked to them by control, and their clients or between one client and another that arise in the course of providing any investment and ancillary services...
- Article 23(1): ...including those caused by the receipt of inducements from third parties or by the investment firm's own remuneration and other incentive structures.
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