Updated 18/09/2024
In force

Version from: 29/12/2022
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Article 1 - Scope

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.


( 1 ) Directive 2013/36/EU of the European Parliament and of the Council of 26 June 2013 on access to the activity of credit institutions and the prudential supervision of credit institutions and investment firms, amending Directive 2002/87/EC and repealing Directives 2006/48/EC and 2006/49/EC (OJ L 176, 27.6.2013, p. 338).