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Commission Delegated Regulation (EU) 2021/1254 of 21 April 2021 correcting Delegated Regulation (EU) 2017/565 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 (Text with EEA relevance)

Commission Delegated Regulation (EU) 2021/1254 of 21 April 2021 correcting Delegated Regulation (EU) 2017/565 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 (Text with EEA relevance)

Delegated Regulation (EU) 2021/1254 · Regulation · 3 articles

Data as of 2026-07-04 · Compiled from an official source version. Later amendments or repeals may not be reflected; the official text prevails. · Read the official text ↗

Article 1

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Delegated Regulation (EU) 2017/565 is corrected as follows: (1) in Article 1, paragraph 1 is replaced by the following: ‘1.   Chapter II, and Sections 1 to 4, Article 64(4), Article 65 and Sections 6 to 8 of Chapter III and, to the extent they relate to those provisions, Chapter I and Chapter VIII of this Regulation shall apply to management companies when providing services in accordance with Article 6(4) of Directive 2009/65/EC and Article 6(6) of Directive 2011/61/EU of the European Parliament and of the Council  ( *1 ) . ( *1 )   Directive 2011/61/EU of the European Parliament and of the Council of 8 June 2011 on Alternative Investment Fund Managers and amending Directives 2003/41/EC and 2009/65/EC and Regulations (EC) No 1060/2009 and (EU) No 1095/2010 ( OJ L 174, 1.7.2011, p. 1 ).’;" (2) Annex I is replaced by the text in the Annex to this Regulation.

Article 2

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This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union .

Supplementary provisions

ANNEXSupplementary provisions

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ANNEX ‘ANNEX I Record-keeping Minimum list of records to be kept by investment firms depending upon the nature of their activities Nature of obligation Type of record Summary of content Legislative reference Client assessment   Information to clients Content as provided for under Article 24(4) of Directive 2014/65/EU and Articles 44 to 51 of this Regulation Article 24(4) of Directive 2014/65/EU Articles 44 to 51 of this Regulation   Client agreements Records as provided for under Article 25(5) of Directive 2014/65/EU Article 25(5) Directive 2014/65/EU Article 58 of this Regulation   Assessment of suitability and appropriateness Content as provided for under paragraphs 2 and 3 of Article 25 of Directive 2014/65/EU and Articles 54, 55 and 60 of this Regulation Article 25(2) and (3) of Directive 2014/65/EU Articles 54, 55 and 56 of this Regulation Order handling   Client order-handling – Aggregated transactions Records as provided for under Articles 67 to 70 of this Regulation Articles 24(1) and 28(1) of Directive 2014/65/EU Articles 67 to 70 of this Regulation   Aggregation and allocation of trans-actions for own account Records as provided for under Article 69 of this Regulation Articles 24(1) and 28(1) of Directive 2014/65/EU Article 69 of this Regulation Client Orders and transactions   Record keeping of client orders or decision to deal Records as provided for under Article 74 of this Regulation Article 16(6) of Directive 2014/65/EU Article 74 of this Regulation   Record keeping of transactions and order processing Records as provided for under Article 75 of this Regulation Article 16(6) of Directive 2014/65/EU Article 75 of this Regulation Reporting to clients   Obligation in respect of services provided to clients Contents as provided for under Articles 59 to 63 of this Regulation Paragraphs 1 and 6 of Article 24 and paragraphs 1 and 6 of Article 25 of Directive 2014/65/EU Articles 59 to 63 of this Regulation Safeguarding of client assets   Client financial instruments held by an investment firm Records as provided for under Article 16(8) of Directive 2014/65/EU and under Article 2 of Commission Delegated Directive (EU) 2017/593 Article 16(8) of Directive 2014/65/EU Article 2 of Delegated Directive (EU) 2017/593   Client funds held by an investment firm Records as provided for under Article 16(9) of Directive 2014/65/EU and under Article 2 of Delegated Directive (EU) 2017/593 Article 16(9) of Directive 2014/65/EU Article 2 of Delegated Directive (EU) 2017/593   Use of client financial instruments Records provided for under Article 5 of Delegated Directive (EU) 2017/593 Paragraphs 8, 9 and 10 of Article 16 of Directive 2014/65/EU Article 5 of Delegated Directive (EU) 2017/593 Communication with clients   Information about Costs and associated charges Contents as provided for under Article 50 of this Regulation Article 24(4), point (c) of Directive 2014/65/EU Article 50 of this Regulation   Information about the investment firm and its services, financial instruments and safe-guarding of client assets Content as provided for under Articles 47, 48 and 49 of this Regulation Article 24(4) of Directive 2014/65/EU Articles 47, 48 and 49 of this Regulation   Information to clients Records of communication Article 24(3) of Directive 2014/65/EU Article 46 of this Regulation   Marketing communications (except in oral form) Each marketing communication issued by the investment firm (except in oral form) as provided under Articles 44 and 46 of this Regulation Article 24(3) of Directive 2014/65/EU Articles 44 and 46 of this Regulation   Investment advice to retail clients (i) The fact, time and date that investment advice was rendered and (ii) the financial instrument that was recommended (iii) the suitability report provided to the client Article 25(6) of Directive 2014/65/EU Article 54 of this Regulation   Investment research Each item of investment research issued by the investment firm in a durable medium Article 24(3) of Directive 2014/65/EU Articles 36 and 37 of this Regulation Organisational requirements   The firm’s business and internal organisation Records as provided for under Article 21(1), point (f) of this Regulation Paragraphs 2 to 10 of Article 16 of Directive 2014/65/EU Article 21(1), point (f) of this Regulation   Compliance reports Each compliance report to management body Article 16(2) of Directive 2014/65/EU Article 22(2), point (c) and Article 25(2) of this Regulation   Conflict of Interest record Records as provided for under Article 35 of this Regulation Article 16(3) of Directive 2014/65/EU Article 35 of this Regulation   Inducements The information disclosed to clients under Article 24(9) of Directive 2014/65/EU Article 24(9) of Directive 2014/65/EU Article 11, 12 and 13 of Delegated Directive (EU) 2017/593   Risk management reports Each risk management report to senior management Article 16(5) of Directive 2014/65/EU Article 23(1), point (b) and Article 25(2) of this Regulation   Internal audit reports Each internal audit report to senior management Article 16(5) of Directive 2014/65/EU Article 24 and Article 25(2) of this Regulation   Complaints-handling records Each complaint and the complaint handling measures taken to address the complaint Article 16(2) of Directive 2014/65/EU Article 26 of this Regulation   Records of personal transactions Records as provided for under Article 29(5), point (c) of this Regulation Article 16(2) of Directive 2014/65/EU Article 29(5), point (c) of this Regulation ’

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Source: EUR-Lex (Publications Office of the EU), © European Union, reuse permitted under Commission Decision 2011/833/EU.

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