Commission Delegated Regulation (EU) 2017/1018 of 29 June 2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards specifying information to be notified by investment firms, market operators and credit institutions (Text with EEA relevance)

• Published date: 17 June 2017
• Official Gazette Publication: Diario Oficial de la Unión Europea, L 155, 17 de junio de 2017,Journal officiel de l'Union européenne, L 155, 17 juin 2017

02017R1018 — EN — 17.06.2017 — 000.002

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►B COMMISSION DELEGATED REGULATION (EU) 2017/1018 of 29 June 2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards specifying information to be notified by investment firms, market operators and credit institutions (Text with EEA relevance) (OJ L 155 17.6.2017, p. 1)

Corrected by:

►C1 Corrigendum, OJ L 292, 10.11.2017, p. 119 (2017/1018)

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▼B

COMMISSION DELEGATED REGULATION (EU) 2017/1018

of 29 June 2016

supplementing Directive 2014/65/EU of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards specifying information to be notified by investment firms, market operators and credit institutions

(Text with EEA relevance)

Article 1

Scope

1. This Regulation shall apply to investment firms and market operators operating a multilateral trading facility (‘MTF’) or an organised trading facility (‘OTF’).

2. This Regulation shall also apply to credit institutions, authorised under Directive 2013/36/EU of the European Parliament and of the Council (1), which provide one or more investment services or perform investment activities, and wish to use tied agents under the following rights:

(a)the right of freedom to provide investment services and activities in accordance with Article 34(5) of Directive 2014/65/EU;

(b)the right of establishment in accordance with Article 35(7) of Directive 2014/65/EU.

Article 2

Definitions

For the purposes of this Regulation, the following definitions shall apply:

(a)‘investment services and activities passport notification’ means a notification made in accordance with Article 34(2) of Directive 2014/65/EU, or in accordance with Article 34(5) of Directive 2014/65/EU;

(b)‘branch passport notification’ or ‘tied agent passport notification’ means a notification made in accordance with Article 35(2) of Directive 2014/65/EU, or in accordance with Article 35(7) of Directive 2014/65/EU;

(c)‘notification for the provision of arrangements to facilitate access to an MTF or an OTF’ means a notification made in accordance with Article 34(7) of Directive 2014/65/EU.

(d)‘passport notification’ means an investment services and activities passport notification, a branch passport notification, tied agent passport notification, or a notification for the provision of arrangements to facilitate access to an MTF or an OTF.

Article 3

Information to be notified for the purposes of the investment services and activities passport notification

1. Investment firms shall ensure that the investment services and activities passport notification submitted pursuant to Article 34(2) of Directive 2014/65/EU includes the following information:

(a)the name, address and contact details of the investment firm along with the name of a specified contact person at the investment firm;

(b)a programme of operations which includes the following items:

(i)details of the particular investment services, activities and ancillary services to be provided in the host Member State and the financial instruments to be used; and

(ii)confirmation as to whether the investment firm wishes to use tied agents, established in its home Member State, to provide services in the host Member State and, if so the name, address, contact details of such tied agents and the investment services or activities, ancillary services and financial instruments to be provided by the latter.

2. Credit institutions referred to in Article 1(2)(a) submitting an investment services and activities passport notification in accordance with Article 34(5) of Directive 2014/65/EU shall ensure that such notification contains the information set out in points (a) and (b)(ii) of paragraph 1.

Article 4

Information to be notified concerning the change of investment services and activities particulars

Investment firms and such credit institutions...