Commission Delegated Regulation (EU) 2017/589 of 19 July 2016 supplementing Direc... (32017R0589)
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Commission Delegated Regulation (EU) 2017/589 of 19 July 2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards specifying the organisational requirements of investment firms engaged in algorithmic trading (Text with EEA relevance. )
- COMMISSION DELEGATED REGULATION (EU) 2017/589
- of 19 July 2016
- supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards specifying the organisational requirements of investment firms engaged in algorithmic trading
- (Text with EEA relevance)
- CHAPTER I
- Article 1
- General organisational requirements
- (Article 17(1) of Directive 2014/65/EU)
- Article 2
- Role of the compliance function
- (Article 17(1) of Directive 2014/65/EU)
- Article 3
- Staffing
- (Article 17(1) of Directive 2014/65/EU)
- Article 4
- IT outsourcing and procurement
- (Article 17(1) of Directive 2014/65/EU)
- CHAPTER II
- Article 5
- General methodology
- (Article 17(1) of Directive 2014/65/EU)
- Article 6
- Conformance testing
- (Article 17(1) of Directive 2014/65/EU)
- Article 7
- Testing environments
- (Article 17(1) of Directive 2014/65/EU)
- Article 8
- Controlled deployment of algorithms
- (Article 17(1) of Directive 2014/65/EU)
- Article 9
- Annual self-assessment and validation
- (Article 17(1) of Directive 2014/65/EU)
- Article 10
- Stress testing
- (Article 17(1) of Directive 2014/65/EU)
- Article 11
- Management of material changes
- (Article 17(1) of Directive 2014/65/EU)
- Article 12
- Kill functionality
- (Article 17(1) of Directive 2014/65/EU)
- Article 13
- Automated surveillance system to detect market manipulation
- (Article 17(1) of Directive 2014/65/EU)
- Article 14
- Business continuity arrangements
- (Article 17(1) of Directive 2014/65/EU)
- Article 15
- Pre-trade controls on order entry
- (Article 17(1) of Directive 2014/65/EU)
- Article 16
- Real-time monitoring
- (Article 17(1) of Directive 2014/65/EU)
- Article 17
- Post-trade controls
- (Article 17(1) of Directive 2014/65/EU)
- Article 18
- Security and limits to access
- (Article 17(1) of Directive 2014/65/EU)
- CHAPTER III
- Article 19
- General provisions for DEA
- (Article 17(5) of Directive 2014/65/EU)
- Article 20
- Controls of DEA providers
- (Article 17(5) of Directive 2014/65/EU)
- Article 21
- Specifications for the systems of DEA providers
- (Article 17(5) of Directive 2014/65/EU)
- Article 22
- Due diligence assessment of prospective DEA clients
- (Article 17(5) of Directive 2014/65/EU)
- Article 23
- Periodic review of DEA clients
- (Article 17(5) of Directive 2014/65/EU)
- CHAPTER IV
- Article 24
- Systems and controls of investment firms acting as general clearing members
- (Article 17(6) of Directive 2014/65/EU)
- Article 25
- Due diligence assessments of prospective clearing clients
- (Article 17(6) of Directive 2014/65/EU)
- Article 26
- Position limits
- (Article 17(6) of Directive 2014/65/EU)
- Article 27
- Disclosure of information about the services provided
- (Article 17(6) of Directive 2014/65/EU)
- CHAPTER V
- Article 28
- Content and format of order records
- (Article 17(2) of Directive 2014/65/EU)
- Article 29
- Entry into force and application
- (Article 17(2) of Directive 2014/65/EU)
- ANNEX I
- ANNEX II
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