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2004/39/ec

Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments amending Council Directives 85/611/EEC and 93/6/EEC and Directive 2000/12/EC of the European Parliament and of the Council and repealing Council Directive 93/22/EEC Information about Directive 2004/39/EC on markets in financial instruments. Law details. Information about Directive 2004/39/EC including date of entry into force and links to summary and consolidated version Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments amending Council Directives 85/611/EEC and 93/6/EEC and Directive 2000/12/EC of the European Parliament and of the Council and repealing Council Directive 93/22/EEC (repealed

Markets in financial instruments (MiFID) - Directive 2004

Full title. Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments amending Council Directives 85/611/EEC and 93/6/EEC and Directive 2000/12/EC of the European Parliament and of the Council and repealing Council Directive 93/22/EEC. Date of entry into force. 30 April 2004. Date that the rules appl EUROPA PARLAMENTETS OCH RÅDETS DIREKTIV 2004/39/EG av den 21 april 2004 om marknader för finansiella instrument och om ändring av rådets direktiv 85/611/EEG och 93/6/EEG och Europaparlamentets och rådets direktiv 2000/12/EG samt upphävande av rådets direktiv 93/22/EE Directive 2004/39/EC - Markets in Financial Instruments Directive (MiFID) Consolidation Status: Updated to reflect all known changes References to Directive 2004/39/EC or to Directive 93/22/EEC shall be construed as references to Directive 2014/65/EU or to Regulation (EU) No 600/2014 and shall be read in accordance with the correlation table set out in Annex IV of Directive 2014/65/EU Directive 2004/39/EC covers almost all tradable financial products with the exception of certain foreign exchange trades. This includes commodity and other derivatives such as freight, climate and carbon derivatives, which were not covered by ISD. That part of a firm's business that is not covered by the above is not subject to Directive 2004. Markets in Financial Instruments Directive (2004/39/EC) Practical Law Primary Source 3-506-8149 (Approx. 2 pages) Ask a question Markets in Financial Instruments Directive (2004/39/EC) Toggle Table of Contents Table of Contents. Ctrl + Alt + T to open/close. Links.

Directive 2004/39/EC of the European Parliament and of the

(4) Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments amending Council Directives 85/611/EEC and 93/6/EEC and Directive 2000/12/EC of the European Parliament and of the Council and repealing Council Directive 93/22/EEC (OJ L 145, 30.4.2004, p. 1). (5) See Annex III, Part A Instruments Directive 2004/39/EC (MiFID Directive). Pursuant to Section A, Annex III of the 1993 Law, the following entities shall be considered to be professional clients unless agreement to the contrary: 1) Entities which are required to be authorised or regulated to operate in the financial markets MiFID, the Market in Financial Instruments Directive it was drafted in 2004 and came into force on November 2007 after some steps during the existed law was failing in some branches inside the market. It established a regulatory framework for th Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments. b) References in this advice to terms defined in the Directive shall have the meaning given to them in the Directive unless the context requires otherwise. In addition, several furthe

Law details European Commissio

  1. F = Investment firm authorised in accordance with Directive 2004/39/EC of the European Parliament and of the Council, I = Insurance undertaking authorised in accordance with Directive 2009/138/EC, L = Alternative investment fund managed by Alternative Investment Fund Managers (AIFMs) authorised or registered in accordance with Directive 2011/61/EU of the European Parliament and of the Council
  2. Markets in Financial Instruments Directive 2004/39/EC (known as MiFID). See also 2006/73/EC , which is fondly known thoughout our glorious continent as the MiFID Implementing Directive. IT HAS NOW BEEN SUPPLANTED BY MiFID 2. Wikipedia; Recitals to MiFID. MiFID 2 (see HSBC note on the subject)
  3. DIRECTIVE 2004/39/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 21 April 2004 on markets in financial instruments amending Council Directives 85/611/EEC and 93/6/EEC and Directive 2000/12/EC of the European Parliament and of the Council and repealing Council Directive 93/22/EEC (OJ L 145, 30.4.2004, p. 1
  4. Derivatives within Section C(10) of Annex I to Directive 2004/39/EC. In addition to derivative contracts of a kind referred to in Section C(10) of Annex I to Directive 2004/39/EC, a derivative contract relating to any of the following shall fall within that Section if it meets the criteria set out in that Section and in Article 38(3)
  5. - Country: ISO 3166-1-alpha-2 country code - Identify the ISO 3166-1-alpha-2 country code where the asset is listed in. An asset is considered as being listed if it is negotiated on a regulated market or on a multilateral trading facility, as defined by Directive 2004/39/EC
  6. European Parliament and Council Directive 2004/38/EC of 29 April 2004 is about the right of citizens of the Union and their family members to move and reside freely within the territory of the EU and EEA member states. This new directive brings together most of the piecemeal measures found in European law previously. The new measures ar

Directive 2007/44/EC of the European Parliament and of the Council of 5 September 2007 amending Council Directive 92/49/EEC and Directives 2002/83/EC, 2004/39/EC, 2005/68/EC and 2006/48/EC as regards procedural rules and evaluation criteria for the prudential assessment of acquisitions and increase of holdings in the financial secto 1. For the purposes of this Regulation, the following definitions shall apply:(1) credit institution means an undertaking the business of which is to take deposits or other repayable funds from the public and to grant credits for its own account;(2) investment firm means a person as defined in point (1) of Article 4(1) of Directive 2004/39/EC, which is subject to th 1. For the purposes of Article 92(3), investment firms that are not authorised to provide the investment services and activities listed in points (3) and (6) of Section A of Annex I to Directive 2004/39/EC shall use the calculation of the total risk exposure amount specified in paragraph 2 EMC Directive (2004/108/EC) The EMC Directive 2004/108/EC sets the essential protection requirements for electrical and electronic equipment. The EMC Directive limits electromagnetic emissions of equipment in order to ensure that, when used as intended, such equipment does not disturb radio and telecommunication as well as other equipment

EUROPA PARLAMENTETS OCH RÅDETS DIREKTIV 2004/39/EG av den

The Markets in Financial Instruments Directive (MiFID) 2004/39/EC was adopted on 21 April 2004 and came into force on 1 November 2007. It creates a single European financial services market enabling financial investment service Under Article 65(1) of Directive 2004/39/EC, the European Commission is due to submit a report to the European Parliament and to the Council on extending pre- and post-trade transparency requirements to transactions in financial instruments other than shares by October 2007.) Post-trade transparenc (2006). implementing Council Directive 2004/39/EC as regards record-keeping obligations for investment firms, transaction reporting, market transparency, admission of financial instruments to trading, and defined terms for the purposes of that Directive (2010)

Directive 2004/39/EC - Markets in Financial Instruments

  1. Directive 2004/39/EC, MiFID I, Article 2.1(d). This is set out in Recital 8 and Article 2.1(d) of MiFID I, and continued in Recitals 18, 20, 23, 50; 2.1(d)(i) of MiFID II
  2. Directive 2004/39/EC of the European Parliament and of the Council on markets in financial instruments amending Council Directives 85/611/EEC, Directive 93/6/EEC and Directive 2000/12/EC of the European Parliament and of the Council and repealing Council Directive 93/22/EE
  3. 3 Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments amending Council Directives 85/611/EEC and 93/6/EEC and Directive 2000/12/EC of the European Parliament and of the Council and repealing Council Directive 93/22/EEC (OJ L 145/1, 30.4.2004)
  4. Feldmanaite, Liubov (2011) Implementation of Directive 2004/39/EC on Markets in financial instruments (Repealing Directive 93/22/EEC on Investment services in the securities field) in Lithuania. Masters thesis, Institute of Advanced Legal Studies, School of Advanced Study
  5. HMT: UK Implementation of the Markets in Financial Instruments Directive (Directive 2004/39/EC) - A consultation document Practical Law Resource ID 6-201-7562 (Approx. 2 pages) Ask a questio
  6. * the VCT's ordinary share capital has been or will be admitted to trading on a regulated market in accordance with Directive 2004/39/EC of the European Parliament (seeVCM54040): listing conditio
  7. Commission Delegated Regulation (EU) 2017/1946 of 11 July 2017 supplementing Directives 2004/39/EC and 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for an exhaustive list of information to be included by proposed acquirers in the notification of a proposed acquisition of a qualifying.

Directive 2014/65/EU - Wikipedi

2. XM is operating in accordance with the Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments amending Council Directives 85/611/EEC and 93/6/EEC and Directive 2000/12/EC of the European Parliament and of the Council and repealing Council Directive 93/22/EEC OF THE MARKETS IN FINANCIAL INSTRUMENTS DIRECTIVE (2004/39/EC) - MiFID Investment firm: Binary Investments (Europe) Ltd Address: Mompalao Building, Suite 2 Tower Road Msida MSD 1825 Malta Tel: +356 21317591 Fax number: Contact: Ms Joanna Frend

Markets in Financial Instruments Directive (2004/39/EC

  1. rue Montoyer 47, B‐1000 Bruxelles +32 2 513 39 69 • Fax +32 2 513 26 43 • e‐mail : info@efama.org • www.efama.or
  2. The content of this article reflects the author's opinion and does not necessarily reflect the official position of LiteForex. The material published on this page is provided for informational purposes only and should not be considered as the provision of investment advice for the purposes of Directive 2004/39/EC
  3. Directive 2004/39/EC, a personal recommendation is a recommendation that recommendation.is made to a person in his capacity as an investor or potential investor, or in his capacity as an agent for an investor or potential investor. That recommendation must be presented as suitable for that person, or must be based on
  4. What we consulted on In May 2014, we consulted on changes to the guidance for transaction reporting set out in the Transaction Reporting User Pack (TRUP) (GC14/2). The Transaction Reporting User Pack (TRUP) provides guidance to firms on understanding the transaction reporting obligations that come from Directive 2004/39/EC on the Markets in Financial Instruments Directive (MiFID), implemented.
  5. (1) Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments (4) has been substantially amended several times. Since further amendments are to be made, it should be recast in the interests of clarity
  6. 11.11.2020 - EEA AGREEMENT - ANNEX IX - p. 2 -{3} 32012 L 0023: Directive 2012/23/EU of the European Parliament and of the Council of 12 September 2012 (OJ L 249, 14.9.2012, p. 1), -{4} 32013 L 0058: Directive 2013/58/EU of the European Parliament and of the Council of 11 December 2013 (OJ L 341, 18.12.2013, p. 1), -{5} 32014 L 0051: Directive 2014/51/EU of the European Parliament and of the.

The European Parliament's Directive 2004/39/EC on markets in financial instruments (MiFID I), which applied in all the member States of the EU from 2007 to 2017, initially aimed at: Harmonising the regulatory framework governing the provision of investment services; Increasing transparency and competition on financial market european directives A multilateral trading facility (MTF) is a European regulatory term for a self-regulated financial trading venue.These are alternatives to the traditional stock exchanges where a market is made in securities, typically using electronic systems. The concept was introduced within the Markets in Financial Instruments Directive (MiFID), a European Directive designed to harmonise retail investors.

MIFID CLIENT CATEGORISATION . INTRODUCTION . This document sets out the process by which FXDD Malta Limited (the Company) categorises its clients, i A well-informed investor means a professional investor, an institutional investor or any other investor who: a) has confirmed in writing to adhere to the status of the well-informed investor, and b) (i) invests a minimum of 125,000 EUR in the SIF, or (ii) has been subject of an assessment made by a credit institution within the meaning of the Directive 2006/48/EC, by an investment firm with.

Directiva 2004/39/CE del Parlamento Europeo y del Consejo

  1. Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments, OJ L 145, 30.4.2004, p. 1-44. 2 : Directive 2011/61/EC of the European Parliament and of the Council of 8 June 2011 on Alternative Investment Fund Managers and amending Directives 2003/41/EC and 2009/65/EC and Regulations (EC) No 1060/2009 and (EU) No 1095/2010, OJ L 174.
  2. MiFID II is the generic term referring to the revision of the Markets in Financial Instruments Directive (2004/39/EC) which was orginally introduced in 2007, more commonly known as MiFID I. Upon its application on 3 January 2018, the new directive (2014/65/EU) will be accompanied by the Markets in Financial Instruments Regulation (MiFIR, Reg. EU No. 600/2014)
  3. on the proposal for a directive of the European Parliament and of the Council amending Directives 1998/26/EC, 2002/87/EC, 2003/6/EC, 2003/41/EC, 2003/71/EC, 2004/39/EC, 2004/109/EC, 2005/60/EC, 2006/48/EC, 2006/49/EC and 2009/65/EC in respect of the powers of the European Banking Authority, the European Insurance and Occupational Pensions Authority and the European Securities and Markets Authorit
  4. The Markets in Financial Instruments Directive (2004/39/EC). Nasdaq Nordic Member Rules. A Trade that is automatically matched in the Order Book in accordance with the NMR o
  5. Directive (Directive 2004/39/EC) (MiFID) MiFID was implemented into law in Ireland by the European Communities (Markets in Financial Instruments) Regulations 2007 (as amended) (the MiFID Regulations). According to such, an
  6. Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments amending Council Directives 85/611/EEC and 93/6/EEC and Directive 2000/12/EC of the European Parliament and of the Council and repealing Council Directive 93/22/EEC (OJ L 145, 30.4.2004, p. 1)

CESR's Advice on Possible Implementing Measures of the

Directive on Markets in Financial Instruments repealing Directive 2004/39/EC and amending Directive 2011/61/EU and Directive 2002/92/EC. 2. Regulation on Markets in Financial Instruments and amending Regulation 648/2012. 3. Directive 2013/36/EU on access to the activity of credit institutions and investment firms,. This website is communicated in Germany by Macquarie Investment Management Europe Limited (MIMEL) to persons classified as either an Eligible Counterparty or a Professional Client as defined by Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments, By agreeing to continue, you confirm that you qualify as an Eligible Counterparty.

(h) a contract concluded within a multilateral system which brings together or facilitates the bringing together of multiple third-party buying and selling interests in financial instruments, as defined by Article 4(1), point (17) of Directive 2004/39/EC, in accordance with non-discretionary rules and governed by a single law, shall be governed. An individual investor, also known as a retail client and a private client, is a client organisation or individual who cannot meet both (i) one or more of the professional client criteria laid down in Annex II to the Markets in Financial Instruments Directive (Directive 2004/39/EC), and (ii) one or more of the qualified investor criteria set out in Article 2 of the Prospectus Directive. Directive 2004/39/EC — Markets in financial instruments — Article 4(1)(14) — Concept of 'regulated market' — Authorisation — Functional requirements — Market whose legal nature is not specified, but which is managed, after a merger, by a legal person also managing a regulated market — Article 47 — Not included on the list of regulated markets — Directive 2003/6/EC. Directive 2006/48/EC of 14 June 2006 relating to the taking up and pursuit of the business of credit institution

markets in financial instruments repealing Directive 2004/39/EC of the European Parliament and of the Council (recast) (first reading) - Adoption of the legislative act (LA + S) 1. On 21 October 2011 the Commission sent the above proposal. 1, based on Article 53(1) TFEU, to the Council. 2. The European Central Bank delivered its opinion on 22. Date 18th August 2016 Version 1.0 - Final 5 MiFID II Appropriateness - Approach to Implementation customer accounts. The questions in this paper relating to general knowledge and experience may apply to such Products, but they are not the main focus of this paper

It is directed only at persons who are professional investors (for the purposes of the Alternative Investment Fund Managers Directive (2011/61/EU) (known as 'AIFMD'); professional clients or eligible counterparties for the purposes of the Markets in Financial Instruments Directive (Directive 2004/39/EC) (known as 'MiFID'); or as otherwise defined under applicable local regulations and. Introduction to MiFID Investment Firms. The Central Bank is responsible for: the prudential regulation and supervision of MiFID Investment Firms authorised in Ireland 2004/39/EC, while outlining possible changes that may follow to the implementing directive (Directive 2006/73/EC) and the implementing regulation (Regulation (EC) No 1287/2006). 2 ECB European Commission's public consultation on the review of the MiFID - Eurosystem contributio INFORMATION REQUIRED BY DIRECTIVE 2004/39/EC ON MARKETS IN FINANCIAL INSTRUMENTS (MiFID) For the purpose of this Schedule, Citi and we shall mean the Custodian, and you and your shall mean the Client. Citi is required to draw your attention to the following information: 1. Client Classificatio

Markets in Financial Instruments Directive (2004/39/EC) We will inform the FCA about all passport notifications. We do not charge for passporting services, but a fee may be levied by other host states 5 Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments amending Council Directives 85/611/EEC and 93/6/EEC and Directive 2000/12/EC of the European Parliament and of the Council and repealing Council Directive 93/22/EEC (OJ L 145, 30.4.2004, p. 1-44 Directive 2004/39/EC. There has no application been made to admit the Securities to the regulated market of any exchange. Minimum Trade Size USD 2,000 (one Security) Estimate of total expenses related to admission to trading EUR 3,000 OFFERING OF SECURITIES Investor minimum subscription amount USD 2,000 (one Security Legal & General Investment Management Limited (LGIM) is registered with the Austrian Financial Market Authority (FMA) to provide cross-border investment services in Austria in accordance with article 34 Directive 2014/65/EU (at the time of notification: Article 31 Directive 2004/39/EC). Registered Address of LGIM is

One eligibility criterion for marketable assets is that the debt instrument must be admitted to trading on a regulated market as defined in the Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments, or traded on certain non-regulated markets specified by the ECB Document title: ACER Guidance on the application of REMIT. Updated 4th Edition Publishing date: 17/06/2016 We appreciate your feedback Please click on the icon to take a 5' online surve Document title: 5th Edition ACER Guidance Publishing date: 08/04/2020 We appreciate your feedback Please click on the icon to take a 5' online survey and provide your feedback about this documen

A little-known EU directive is giving shoppers extra ammunition to return faulty goods, despite the obstacles put up by retailer (2) Directive 2004/39/EC provides that Member States are to adopt the laws, regulations and administrative provisions necessary to comply with it by 30 April 2006. In order to ensure uniform application in the Member States, a significant number of complex provisions of that Directive need to be supplemented by implementing measures, to be adopted by the Commission during the period for. MiFID refers to the Markets in Financial Instruments Directive (2004/39/EC) that has been adopted in 2007 by all European Union (EU) member states, creating a single authorisation for investment firms enabling them to conduct business anywhere in the EU This information is exclusively intended for Professional investors within the meaning of the MiFID Directive 2004/39/EC of 21 April 2004, and articles 314-4 and following of the General Regulations of the AMF

The Insolvency Review Sixth Edition

Instruments Directive (2004/39/EC). Neither Johnson Controls nor Adient is an authorized investment firm within the meaning of the European Communities (Markets in Financial Instruments) Regulations 2007 of Ireland (as amended) or the Markets in Financial Instruments Directive (2004/39/EC) and the recipients of thi 2-the Law of 13 July 2005 on institutions for occupational retirement provision in the form of a SEPCAV and an ASSEP, as amended; -the Law of 13 July 2005 on the activities and supervision of institutions for occupational retirement provision; -the Law of 5 April 1993 on the financial sector, as amended; -the Law of 12 November 2004 on the fight against money laundering and terrorist financing.

Article 4 Definitions Directive 2004/39/EC - Markets in

Part 1 Scope, definitions Section 1 Scope (1) This Act contains requirements relating to 1. the provision of investment services and ancillary investment services, 2. the provision of data reporting services and the organisation of data reporting services providers, 3. abusive conduct in on-exchange and OTC trading in financial instruments, 4. the marketing, distribution and sale of financial. MiFID (i.e. the European Commission Directive 2004/39/EC) has been enforced in the Republic of Cyprus by the Cyprus Securities and Exchange Commission, through the introduction of the Law and its directives The Markets in Financial Instruments Directive 2004/39/EC came into effect on 1 November 2007, when it replaced the Investment Services Directive (ISD), which directly affects EU financial markets. MiFID extended the coverage of ISD and introduced new and more extensive requirements that firms have to adapt to, in particular for their conduct of business and internal organization overview A Superior Approach. GoldenTree is an employee owned, global asset management firm that specializes in opportunities across the credit universe in sectors such as high yield bonds, leveraged loans, distressed debt, structured products, emerging markets, private equity and credit-themed equities

EURUSD: Elliott wave analysis and forecast for 16

Directive 2004/39/EC legal definition of Directive 2004

that it is admitted to trading on a regulated market in accordance with Directive 2004/39/EC of the European Parliament (VCM54030) it will not retain more than 15% of its income derived in them. The SCOR Global Investments SE extranet is designed exclusively for professional investors within the meaning of the Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments (referred to as MiFID) Abstract The purpose of this paper is to compare the European Union (EU) and United States (U.S.) securities regulations. In November 2007, the market in financial instruments directive 2004/39/EC (MiFID) came into force in the EU, and brought about deep changes in the market infrastructure Directive on Alternative Investment Fund Managers -AIFMD 1 M-15519285-1 The AIFMD (Directive 2011/61/EU) must be implemented by EU member states by 22 July, 2013. It introduces the regulation of EU domiciled Alternative Investment Fund Managers (AIFMs) who manage one or more alternative investment funds (AIFs) in the EU and AIFMs established outside the EU which manage one o On May 6, 2015, the European Securities and Markets Authority (ESMA) published guidelines (ESMA/2015/675) on the definitions of commodity derivatives and their classification under C6 and C7 listed in Section C of Annex 1 to the Markets in Financial Instruments Directive (2004/39/EC) (MiFID).. The guidelines will apply to national competent authorities from August 7, 2015 and are intended to.

(PDF) Analyzing the service directive 2004/39/EC of the

Directive 2004/39/EC means Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments amending Council Directives 85/611/EEC and 93/6/EEC and Directive 2000/12/EC of the European Parliament and of the Council and repealing Council Directive 93/22/EEC, as amended by Directive 2006/31/EC of the European Parliament and of the. Luxembourg continues to strengthen its ranking as the world's second-largest fund domicile after the United States: in 2017, the assets under management of Luxembourg-domiciled funds crossed the bar of €4 trillion for the first time, and stand at €4.5 trillion as at 31 August 2019. 1 This increase is not only based on the growth of traditional Luxembourg-domiciled undertakings for. Home Perspectives Summary of EC Review of the Markets in Financial Instruments Directive (Directive 2004/39/EC) (MiFID) MiFID has been in force since November 2007 and is currently under review by the European Commission (the EC/Commission) (Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on Markets in Financial Instruments Amending Council Directives 85/611/EEC and 93/6/EEC and Directive 2000/12/EC of the European Parliament and of the Council Repealing Council Directive 93/22/EEC (MiFID I) 2004 O.J. ( 2 Point 14, Article 4(1) of Directive 2004/39/EC 3 Funds in general (e.g. Undertakings for Collective Investment in Transferable Securities (UCITs) or Alternative Investment Funds (AIFs)) are not PIEs (unless so designated by a Member State), but funds with their prices listed on an EU Regulated exchange are include

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Entities classified as financial counterparty (FC) under

The English courts have recently given judgment in a number of claims for losses resulting from the Swiss Flash Crash of 2015. In dismissing on Colchester Global Investors Limited is authorised and regulated by the Financial Conduct Authority in the United Kingdom. Colchester Global Investors Limited is also registered with the Securities and Exchange Commission in the USA and is registered as a Commodity Trading Advisor and Commodity Pool Operator with the Commodity Futures Trading Commission Back ANNEX II: PROFESSIONAL CLIENTS FOR THE PURPOSE OF THIS DIRECTIVE Professional client is a client who possesses the experience, knowledge and expertise to make its own investment decisions and properly assess the risks that it incurs The Company is operating under Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets on financial instruments amending Council Directives 85/611/ECC and 93/6/EEC and Directive 2000/12/EC of the European Parliament and of the Council and repealing Counci This material is not for distribution to retail clients, as that term is defined under The European Union Markets in Financial Instruments Directive (2004/39/EC) and any investments, including derivatives, mentioned in this material will not be made available by us to any such retail client

MiFID - The Jolly Contraria

PO Box 267 14-18 Castle Street St Helier Jersey JE4 8TP Channel Islands Contact JFSC on +44 (0)1534 822000 Contact Registry +44 (0)1534 82203 investment firm authorised under Directive 2004/39/EC (MiFID) and/or credit institution authorised under Directive 2006/48/EC (Banking Directive). We declare that we are authorized by our competent national authority for bidding on behalf of our clients for auctioned products that are not financial instruments and that als The bank is examining the possibility of issuing euro-denominated non-equity securities, contingent on the roadshow's results and market conditions Following the letter last week about John Lewis not responding to a claim under its never knowingly undersold policy, one question springs to mind. I thought all electrical goods now come with a.

EEA Regulated Market means a market as defined by Article 4.1(14) of Directive 2004/39/EC of the European Parliament and of the Council on markets on financial instruments.The New Conversion Condition shall be satisfied if, by not later than seven days following the occurrence of a Takeover Event where the Acquiror is an Approved Entity, the Issuer shall to the satisfaction of CSG and. Access to this Site is not intended for any Retail Client, as defined in the European Union Markets in Financial Instruments Directive (2004/39/EC) (MiFiD) and is accordingly restricted to persons who are (a) Eligible Counterparties or Professional Customers as defined in MiFiD and (b) where relevant, persons who have professional experience in matters relating to investments falling within. Implementation of MiFID II: Part 2 November 2016 7 firms subject to MiFID I and CRD,1 as opposed to separate regulatory r equirements arising from these d irectives being imposed upon the same business functions

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Directive 2004/39/EC (MIFID) - consolidated - Open Book

I, BRIAN COWEN, Minister for Finance, in exercise of the powers conferred on me by section 3 of the European Communities Act 1972 (No. 27 of 1972), as amended by the European Communities (Amendment) Act 1993 (No. 25 of 1993), for the purpose of giving effect to Directive 2004/39/EC, dated 21 April 2004, of the European Parliament and of the Council as amended by Directive 2006/31/EC of 5 April. On November 2, 2010, the Canadian Securities Administrators (CSA) Derivatives Committee published Consultation Paper 91-401 - Over-the-Counter Derivatives Regulation in Canada (Consultation Paper 91-401)1. That consultation paper set out high-level proposals for the regulation of over-the-counter derivatives. The Committee sought input from the public with respect to the.

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