Article 35 | Delegated Regulation 2017/565 | judict

Updated 18/09/2024

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MiFID II Tool Delegated Regulation 2017/565

Article 35

Article 35 - Record of services or activities giving rise to detrimental conflict of interest (Article 16(6) of Directive 2014/65/EU)

Article 35

Record of services or activities giving rise to detrimental conflict of interest

(Article 16(6) of Directive 2014/65/EU)

Investment firms shall keep and regularly update a record of the kinds of investment or ancillary service or investment activity carried out by or on behalf of the firm in which a conflict of interest entailing a risk of damage to the interests of one or more clients has arisen or, in the case of an ongoing service or activity, may arise.

Senior management shall receive on a frequent basis, and at least annually, written reports on situations referred to in this Article.

Table of contents

CHAPTER I - SCOPE AND DEFINITIONS (Article 1-20)

CHAPTER II - ORGANISATIONAL REQUIREMENTS (Article 21-43)

SECTION 1 - Organisation (Article 21-29)

SECTION 2 - Outsourcing (Article 30-32)

SECTION 3 - Conflicts of interest (Article 33-43)Article 33 - Conflicts of interest potentially detrimental to a client (Article 16(3) and Article 23 of Directive 2014/65/EU)Article 34 - Conflicts of interest policy (Articles 16(3) and 23 of Directive 2014/65/EU) Q&AGL Article 35 - Record of services or activities giving rise to detrimental conflict of interest (Article 16(6) of Directive 2014/65/EU)Article 36 - Investment research and marketing communications (Article 24(3) of Directive 2014/65/EU)Article 37 - Additional organisational requirements in relation to investment research or marketing communications (Article 16(3) of Directive 2014/65/EU) Article 38 - Additional general requirements in relation to underwriting or placing (Articles 16(3), 23 and 24 of Directive 2014/65/EU) Q&A Article 39 - Additional requirements in relation to pricing of offerings in relation to issuance of financial instruments (Articles 16(3), 23 and 24 of Directive 2014/65/EU)Article 40 - Additional requirements in relation to placing (Articles 16(3), 23 and 24 of Directive 2014/65/EU)Article 41 - Additional requirements in relation to advice, distribution and self-placement (Articles 16(3), 23 and 24 of Directive 2014/65/EU)Article 42 - Additional requirements in relation to lending or provision of credit in the context of underwriting or placement (Articles 16(3), 23 and 24 of Directive 2014/65/EU)Article 43 - Record keeping in relation to underwriting or placing (Articles 16(3), 23 and 24 of Directive 2014/65/EU) Q&A

CHAPTER III - OPERATING CONDITIONS FOR INVESTMENT FIRMS (Article 44-79)

CHAPTER IV - OPERATING OBLIGATIONS FOR TRADING VENUES (Article 80-82)

CHAPTER V - POSITION REPORTING IN COMMODITY DERIVATIVES (Article 83)

CHAPTER VI - DATA PROVISION OBLIGATIONS FOR DATA REPORTING SERVICE PROVIDERS (Article 84-89)

CHAPTER VII - COMPETENT AUTHORITIES AND FINAL PROVISIONS (Article 90)

CHAPTER VIII - FINAL PROVISIONS (Article 91)

ANNEX I ANNEX II Q&A ANNEX III ANNEX IV