NOU 2017: 1

Markeder for finansielle instrumenter — Gjennomføring av MiFID II og MiFIR

Finansdepartementet

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1 Oversikt over utfyllende kommisjonsforordninger til MiFID II

For informasjonsformål. Listen er ikke uttømmende.

§ 2-2 Finansielle instrumenter

Commission Delegated Regulation (EU) …/… of 25.4.2016 supplementing 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 purposes of that Directive (C(2016) 2398)

§ 2-3 Definisjoner knyttet til investeringstjenester og investeringsvirksomhet

§ 2-4 Definisjoner knyttet til finansielle instrumenter

§ 2-8 Definisjoner knyttet til foretak og handelsplasser

Commission Delegated Regulation (EU) …/… of 25.4.2016 supplementing Directive 2014/65/EU of the Parliament and of the Council as regards organisational requirements and operating conditions for investment firms and defined terms for the purpose of that Directive (C(2016) 2398)

§ 9-2 Systematisk internalisering

§ 9-3 Unntak fra krav om tillatelse

Commission Delegated Regulation (EU) …/… of 1.12.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for the criteria to establish when an activity is considered to be ancillary to the main business (C(2016) 7643 – RTS 20)

§ 9-6 Søknad om tillatelse

Commission Delegated Regulation (EU) …/… of 14.7.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards on information and requirements for the authorisation of investment firms (C(2016) 4417)

§ 9-16 Generelle krav til organisering av virksomheten

§ 9-17 Telefonsamtaler og elektronisk kommunikasjon

§ 9-18 Kundemidler og sikkerhetsstillelse

Commission Delegated Directive (EU) …/… of 7.4.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to safeguarding of financial instruments and funds belonging to clients, product governance obligations and the rules applicable to the provision or reception of fees, commissions or any monetary or non-monetary benefits (C(2016) 2031)

§ 9-19 Produkthåndtering

§ 9-34 Definisjoner

§ 9-35 Algoritmehandel

Commission Delegated Regulation (EU) …/… of 25.4.2016 Supplementing Directive 2014/65/EU of the Parliament and of the Council as regards organisational requirements and operating conditions for investment firms and defined terms for the purpose of that Directive (C(2016) 2398)

Commission Delegated Regulation (EU) …/… of 19.7.2016 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 (C(2016) 4478 – RTS 6)

Commission Delegated Regulation (EU) …/… of 13.6.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards specifying the requirements on market making agreements and schemes (C(2016) 3523 – RTS 8)

§ 9-36 Direkte elektronisk tilgang

§ 9-37 Alminnelig clearingmedlem

§ 9-38 Handelsprosessen og gjennomføring av transaksjoner på MHF og OHF

Commission Delegated Regulation (EU) 2016/824 of 25 May 2016 laying down implementing technical standards with regard to the content and format of the description of the functioning of multilateral trading facilities and organised trading facilities and the notification to the European Securities and Markets Authority according to Directive 2014/65/EU of the European Parliament and of the Council on markets in financial instruments

§ 9-39 Særlige krav til multilaterale handelsfasiliteter (MHF)

§ 9-40 Særlige krav til organiserte handelsfasiliteter (OHF)

§ 9-41 Markedsovervåkning på MHF og OHF

§ 9-42 Suspensjon og strykning av finansielle instrumenter fra handel

Commission Delegated Regulation (EU) …/… of 24.5.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for the suspension and removal of financial instruments from trading (C(2016) 3014 – RTS 18)

§ 9-43 Vekstmarked for små og mellomstore bedrifter

§ 9-44 Melding om utøvelse av virksomhet i annen EØS-stat

Commission Delegated Regulation (EU) …/… of 29.6.2016 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 (C(2016) 3917)

§ 9-45 Melding om etablering av filial i annen EØS-stat

§ 9-46 Verdipapirforetak med hovedsete i annen EØS-stat

§ 10-2 Interessekonflikter

§ 10-10 Informasjon til kunden

§ 10-11 Særskilte krav for uavhengig investeringsrådgivning

§ 10-12 Vederlag fra andre enn kunden

§ 10-15 Vurdering av egnethet og hensiktsmessighet

§ 10-17 Rapportering til kunder

§ 10-19 Beste resultat ved utførelse av ordre

Commission Delegated Regulation (EU) …/… of 8.6.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards concerning the data to be published by execution venues on the quality of execution of transactions (C(2016) 3333 – RTS 27)

§ 10-20 Offentliggjøring av informasjon om ordreutførelse

Commission Delegated Regulation (EU) …/… of 8.6.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for the annual publication by investment firms of information on the identity of execution venues and of the quality of execution (C(2016) 3337 – RTS 28)

§ 10-21 Håndtering av kundeordre

§ 10-23 Tjenesteyting overfor kvalifiserte motparter

§ 11-19 Robuste systemer og automatiske handelssperrer på regulert marked

Commission Delegated Regulation (EU) …/… of 14.7.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards specifying organisational requirements of trading venues (C(2016) 4387 – RTS 7)

Commission Delegated Regulation (EU) …/… of 26.5.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards for the determination of a material market in terms of liquidity in relation to notifications of a temporary halt in trading (C(2016) 3020 – RTS 12)

Commission Delegated Regulation (EU) …/… of 14.7.2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards on transparency requirements for trading venues and investment firms in respect of shares, depository receipts, exchange-traded funds, certificates and other similar financial instruments and on transaction execution obligations in respect of certain shares on a trading venue or by a systematic internaliser (C(2016) 4390) – RTS 1)

§ 11-20 Avtaler med prisstillere

Commission Delegated Regulation (EU) …/… of 13.6.2016 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 the requirements on market making agreements and scheems (C(2016) 3523 – RTS 8)

§ 11-21 Algoritmehandel

Commission Delegated Regulation (EU) …/… of 14.7.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards specifying organisational requirements of trading venues (C(2016) 4387 – RTS 7)

Commission Delegated Regulation (EU) …/… of 18.5.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards for the ratio of unexecuted orders to transactions in order to prevent disorderly trading conditions (C(2016) 2775 – RTS 9)

§ 11-22 Direkte elektronisk tilgang

Commission Delegated Regulation (EU) …/… of 14.7.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards specifying organisational requirements of trading venues (C(2016) 4387 – RTS 7)

§ 11-23 Samlokaliseringstjenester og avgiftsstruktur

Commission Delegated Regulation (EU) …/… of 6.6.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards on requirements to ensure fair and non-discriminatory co-location services and fee structures (C(2016) 3266 – RTS 10)

§ 11-24 Minste kursendring

Commission Delegated Regulation (EU) …/… of 14.7.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards on the tick size regime for shares, depositary receipts and exchange traded funds (C/2016) 4389 – RTS 11)

§ 11-25 Synkronisering av klokker

Commission Delegated Regulation (EU) …/… of 7.6.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for the level of accuracy of business clocks (C(2016) 3316 – RTS 25)

§ 12-2 Opptak til handel av finansielle instrumenter mv.

Commission Delegated Regulation (EU) …/… of 24.5.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for the admission of financial instruments to trading on regulated markets (C(2016) 3017 – RTS 17)

§ 12-3 Suspensjon og strykning av finansielle instrumenter

§ 12-5 Markedsovervåkning

§ 14-2 Søknad om tillatelse

Commission Delegated Regulation (EU) …/… of 2.6.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards on the authorization, organisational requirements and the publication of transactions for data reporting service providers (C(2016/3201) – RTS 13)

§ 14-6 Organisatoriske krav til godkjente offentliggjøringsordninger (APA)

§ 14-7 Organisatoriske krav til konsoliderte offentliggjøringssystem (CTP)

§ 14-8 Organisatoriske krav til godkjente rapporteringsordninger (ARM)

§ 15-1 Fastsettelse av posisjonsgrenser

Commission Delegated Regulation (EU) …/… of 1.12.2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for the application of position limits to commodity derivatives (C(2016) 4362 – RTS 21)

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