On the 27th April the Council of the EU made public its ANNEXES to the COMMISSION DELEGATED REGULATIONsupplementing Directive 2014/65/EU of the European Parliament and of
the Council as regards organisational requirements and operating
conditions for investment firms and defined terms for the purpose of that
Directive
- Minimum list of records to be kept by investment firms depending upon the nature of their activities
- Identified costs that should form part of the costs to be disclosed to the clients
- All costs and associated charges related to the financial instrument that should form part of the amount to be disclosed
- Requirement for operators of trading venues to immediately inform their national competent authority
- Signals that may indicate abusive behaviour under Regulation (EU) No 596/2014
- Record keeping of client orders and decision to deal
- Record keeping of transactions and order processing