Dealing on own account definition

Dealing on own account means trading against proprietary capital resulting in the conclusion of transactions in one or more financial instruments;

Dealing on own account means trading against proprietary capital resulting in the conclusion of transactions in one or more financial instruments; the terms "trade on own account" or "trading on own account" shall have a similar interpretation;

Dealing on own account means dealing on own account as defined in Article 4(1)(6) of Directive 2014/65/EU;

Examples of Dealing on own account in a sentence

• Dealing on own account with clients by an investment firm should be considered as the execution of client orders, and therefore subject to the requirements under Directive 2014/65/EU and this Regulation and, in particular, those obligations in relation to best execution.

• Money market instruments Belgium (FOS)1.3. Dealing on own account 3.

• Dealing on own account, meaning the activity of trading against proprietary capital resulting in the conclusion of transactions in one or more financial instruments.

• Units in collective investment undertakings1.3. Dealing on own account 4.

• Dealing on own account by executing client orders should include firms executing orders from different clients by matching them on a matched principal basis (back to back trading), which should be regarded as acting as principals and should be subject to the provisions of this Directive covering both the execution of orders on behalf of clients and dealing on own account.

More Definitions of Dealing on own account

Dealing on own account means trading against proprietary capital resulting in the conclusion of transactions in one or more financial instruments; the terms «trade on own account" or "trading on own account" shall have a similar interpretation;

Dealing on own account means trading and swapping financial instruments against proprietary assets

Dealing on own account means dealing on own account as defined in Article 4(1)

Dealing on own account means trading against proprietary capital resulting in the conclusion of transactions in one or more financial instruments; Including the cross-reference to Article 4(1)(6) in the RTS 13 undermines the definitions in Article 4 which are clear in determining that an SI can only deal on own account. In contrast, it is the OTF which has the ability to trade on a matched principal basis under certain conditions, these being outlined in MIFIR Article 20 based on the definition of matched principal trading in Article 4(1)(38). Proposal:We suggest amending Article 1(b) of RTS 32 as follows: ‘Matched principal capacity’ means dealing on own account as defined in Article 4(1)(6) where the concerned entity enters into a transaction as defined in Article 4(1)(38) of Directive 2014/65/EU as a facilitator by interposing the firm between the buyer and the seller to the transaction in a way whereby the firm is never exposed to market risk throughout the execution of the transaction, with both sides executed simultaneously, and where the transaction is concluded at a price where the facilitator makes no profit or loss, other than a previously disclosed commission, fee or charge for the transaction.<ESMA_QUESTION_CP_MIFID_219>Do you foresee any problem with identifying the specific waiver(s) under which the trade took place in a transaction report? If so, please provide details<ESMA_QUESTION_CP_MIFID_220> TYPE YOUR TEXT HERE<ESMA_QUESTION_CP_MIFID_220>Do you agree with ESMA’s approach for deciding whether financial instruments based on baskets or indices are reportable?<ESMA_QUESTION_CP_MIFID_221> TYPE YOUR TEXT HERE<ESMA_QUESTION_CP_MIFID_221>Do you agree with the proposed standards for identifying these instruments in the transaction reports?<ESMA_QUESTION_CP_MIFID_222> TYPE YOUR TEXT HERE<ESMA_QUESTION_CP_MIFID_222>Do you foresee any difficulties applying the criteria to determine whether a branch is responsible for the specified activity? If so, do you have any alternative proposals?

Dealing on own account means dealing on own account as defined in point (6) of

Dealing on own account means active trading against proprietary capital, on a regular and professional basis, resulting in the conclusion of transactions in one or more financial instruments;

Dealing on own account means trading against proprietary capital resulting in the conclusion of transactions in one or more financial instruments; the management of proprietary capital does not constitute dealing on own account.