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MiFIR - Regulation (EU) No 600/2014. Controls Checklist (EUR-Lex Checklist)

This checklist provides a clear overview of the essential controls required to achieve compliance with the MiFIR - Regulation (EU) No 600/2014. Controls Checklist.

It serves as a valuable reference for conducting Gap Analysis, checking Compliance Implementation, and as a resource for Internal Audits.

Please note, this is a draft document. As such, it may contain incorrect information. Please verify the carefully before use.

What's Included:

  • Controls across key Articles
  • Article Summary
  • Requirement Statement

Summary

MiFIR - Regulation (EU) No 600/2014. REGULATION (EU) No 600/2014 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL on markets in financial instruments and amending Regulation (EU) No 648/2012 This regulation is crucial for creating a transparent and efficient framework for trading financial instruments within the EU. It aims to enhance the integrity of the financial markets, reduce systemic risks, and improve investor protection by imposing stricter requirements for transparency and reporting on financial transactions.


Reference URL: https://eur-lex.europa.eu/legal-content/EN/TXT/HTML/?uri=CELEX:32014R0600

Updated: 2024-10-11 20:53:26
Created: 2024-10-11 20:53:11

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