MiFID II Rules definition

MiFID II Rules means the rules of the EU Markets in Financial Instruments Directive ("MiFID") (Directive 2004/39/EC), as amended from time to time and including but not limited to:
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MiFID II Rules means Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Directive 2002/92/EC and Directive 2011/61/EU (the “MiFID II Directive”), and Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Regulation (EU) No 648/2012.
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MiFID II Rules. The rules pertaining to the provision of investment services including but not limited to, rules of conduct, execution of orders, fees and charges such as deriving notably from the LFS, the Grand Ducal Regulation and the Delegated Regulation. “Margin Delegated Regulation” The Commission Delegated Regulation (EU) 2016/2251 of 4 October 2016 supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council on OTC derivatives, central counterparties and trade repositories with regard to regulatory technical standards for risk-mitigation techniques for OTC derivative contracts not cleared by a central counterparty, as amended or restated from time to time. Any reference to laws, regulations or documents of any nature should always be read as referring to the current form of such legislation, regulatory rules or document at the relevant time.
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Examples of MiFID II Rules in a sentence

  • For the avoidance of doubt, we are not required to assess the suitability of any Product or service provided or offered to you and you will therefore not benefit from the protection of the MiFID II Rules on suitability assessment.

  • Categorisation as a Retail Client affords you the highest degree of consumer protection under the MiFID II Rules.

  • However, if we do agree to such a request and you are re-categorised, you will lose the benefit of certain protections (as summarised in Appendix 1) set out under the MiFID II Rules.

  • In providing these services, IBIE will act honestly, fairly and professionally in accordance with the best interests of its Clients and shall comply with the relevant requirements of the MiFID II Rules.

  • APPENDIX 1 Overview of Differences in Regulatory Protections for Retail and Professional Clients If you were to elect to be treated as a Professional Client rather than a Retail Client, you would lose the benefit of certain protection under the MiFID II Rules which you would otherwise have (you may choose to be treated as a Professional Client instead of a Retail Client for certain transactions only, or for all of your transactions).

  • When IBIE accepts an order or executes a Transaction for you where we access external execution venues (including third party Systematic Internalisers as defined in the MiFID II Rules) as agent or riskless principal, IBIE does so as an executing broker and not as a Systematic Internaliser.

  • In accordance with the MiFID II Rules, the Bank has defined and established an order execution policy (hereinafter the “Execution Policy”) aiming to obtain the best result for the Client by taking into account the price, the costs, the speed, the likelihood of execution and settlement, the size, the nature of the order and any other consideration relating to the execution of the order.

  • When IBLUX accepts an order or executes a Transaction for you where we access external execution venues (including third party Systematic Internalisers as defined in the MiFID II Rules) as agent or riskless principal, IBLUX does so as an executing broker and not as a Systematic Internaliser.

  • For the avoidance of doubt, we are not required to assess the suitability of any Product or service provided or offered and you will therefore not benefit from the protection of the MiFID II Rules on assessing suitability.

  • Annex 3 Execution policy Execution policy In accordance with the MiFID II Rules, the Bank has defined and established an order execution policy (the “Execution Policy”) aiming to obtain the best result for the Client by taking into account the price, the costs, the speed, the likelihood of execution and settlement, the size, the nature of the order and any other consideration relating to the execution of the order.


More Definitions of MiFID II Rules

MiFID II Rules. The rules pertaining to the provision of investment services including but not limited to, rules of conduct, execution of orders, fees and charges such as deriving notably from the LFS, the Grand Ducal Regulation and the Delegated Regulation. Any reference to laws, regulations or documents of any nature should always be read as referring to the current form of such legislation, regulatory rules or document at the relevant time.
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Related to MiFID II Rules

  • PPB Rules means the rules of the Procurement Policy Board as set forth in Title 9 of the Rules of the City of New York (“RCNY”), § 1-01 et seq.

  • CySEC Rules means the Rules, Directives, Regulations, Guidance notes, opinions or recommendations of CySEC.

  • M&A Rules means the Provisions on Merging and Acquiring Domestic Enterprises by Foreign Investors, which was promulgated by six Governmental Agencies, namely, the Ministry of Commerce, the State-owned Assets Supervision and Administration Commission, the State Administration for Taxation, the State Administration for Industry and Commerce, the China Securities Regulatory Commission (the “CSRC”), and the State Administration of Foreign Exchange, on August 8, 2006 and became effective on September 8, 2006, as amended by the Ministry of Commerce on June 22, 2009.

  • FCA Rules means the Rules included within the FCA Handbook issued by the FCA.

  • HIPAA Rules means the Privacy, Security, Breach Notification, and Enforcement Rules at 45 CFR Part 160 and Part 164.

  • Business Rules means the business rules established by JSCC regarding its Financial Instruments Obligation Assumption Service for CDS Transactions, as amended, if applicable.

  • FSA Rules meanss the rules, guidance, principles and codes comprised in the Handbook of Rules and Guidance issued by the FSA. The parties understand and agree that such categorisation is not intended to, and does not, affect the relationship between and among the parties under the 1940 Act or the Advisers Act.

  • SIFT Rules means the provisions of the Tax Act, including those contained in sections 104, 122 and 122.1 of the Tax Act, which apply to the taxation of a “specified investment flow through trust” and its unitholders.

  • PRA Rules means the Rules included within the PRA handbook issued by the PRA.

  • NYSRC Reliability Rules means the rules applicable to the operation of the New York Transmission System. These rules are based on Reliability Standards adopted by NERC and NPCC, but also include more specific and more stringent rules to reflect the particular requirements of the New York Transmission System.

  • AML/KYC Procedures means the customer due diligence procedures of a Reporting Finnish Financial Institution pursuant to the anti-money laundering or similar requirements of Finland to which such Reporting Finnish Financial Institution is subject.

  • CCASS Rules means the General Rules of CCASS and the CCASS Operational Procedures in effect from time to time;

  • HKIAC Rules shall have the meaning ascribed to it in Section 10.13(a).

  • JAMS Rules has the meaning assigned thereto in Section 13 hereof.

  • Hague-Visby Rules means the provisions of the International Convention for the Unification of certain rules Relating to Bills of Lading signed at Brussels on 25th August 1924 as amended by the Visby Protocol of 23rd February 1968 and the SDR Protocol of 21st December 1979;

  • Partnership Tax Audit Rules means Sections 6221 through 6241 of the Code, as amended by the Bipartisan Budget Act of 2015, together with any guidance issued thereunder or successor provisions and any similar provision of state or local tax laws.

  • BBA Partnership Audit Rules means Sections 6221 through 6241 of the Code, and any regulations promulgated or proposed under any such Sections and any administrative guidance with respect thereto.

  • Model Rules means the State of Oregon’s Attorney General’s model rules of procedure for Public Contracting, which are set forth in OAR Chapter 137, divisions 46, 47, 48, and 49, and required under ORS 279A.065.

  • IESO Market Rules means the rules made under section 32 of the Electricity Act, 1998 (Ontario), together with all market manuals, policies and guidelines issued by the IESO.

  • General Rules means the general rules set out in Part 2 of these QFCA Rules.

  • Elective Treatment and Procedures means any medical treatment or surgical procedure that is not medically necessary, including any service, treatment, or supplies that are deemed by the federal, or a state or local government authority, or by Us to be research or experimental or that is not recognized as a generally accepted medical practice.

  • Market Rules means the rules made under section 32 of the Electricity Act;

  • Regulatory Rules means all corporate and securities laws, regulations, rules, policies, notices, instruments and other orders of any kind whatsoever which may, from time to time, apply to the implementation, operation or amendment of this Plan or the Options granted from time to time hereunder including, without limitation, those of the applicable Regulatory Authorities.

  • Drug Free Workplace Act Party will assure a drug-free workplace in accordance with 45 CFR Part 76. Lobbying: No federal funds under this agreement may be used to influence or attempt to influence an officer or employee of any agency, a member of Congress, an officer or employee of Congress, or an employee of a member of Congress in connection with the awarding of any federal contract, continuation, renewal, amendments other than federal appropriated funds.

  • Applicable Rules means Section 10D of the Exchange Act, Rule 10D-1 promulgated thereunder, the listing rules of the national securities exchange or association on which the Company’s securities are listed, and any applicable rules, standards or other guidance adopted by the Securities and Exchange Commission or any national securities exchange or association on which the Company’s securities are listed.

  • The HIPAA Privacy Rule means the Standards for Privacy of Individually 10 Identifiable Health Information at 45 CFR Part 160 and Part 164, Subparts A and E.