Examples of MiFID II Regulations in a sentence
You agree that such electronic communications shall constitute a “durable medium” for the purposes of the MiFID II Regulations.
As in accordance to MiFID II Regulations, Directive 2014/65/EU, retention periods will be determined taking into account the type of information that is collected and the purpose for which it is collected, bearing in mind the requirements applicable to the situation and the need to destroy outdated, unused information at the earliest reasonable time.
Following MiFID II Regulations, Directive 2014/65/EU, the Company will not keep the Client’s Information for any longer than is required.
Because of this, you will not benefit from the protections of the MiFID II Regulations which dictate when we need to assess the suitability or appropriateness of the transaction for you.
Nothing in the Agreement shall operate to exclude or restrict any responsibility we have to you under the MiFID II Regulations, or the Financial Services and Markets Act 2000, as applicable, or other regulatory system.
In providing discretionary portfolio services or giving investment advice to you (whether as part of advice and dealing services or advisory portfolio services), under the MiFID II Regulations and in order to allow us to act in your best interests, we have to gather information from you about your knowledge and experience of the investment field which applies to the specific type of investment or service we are providing to you.
As a professional client or eligible counterparty, a number of the rules in the MiFID II Regulations or FCA Rules (as applicable) will cease to apply to you including: • Disclosures about services, • Appropriateness, • Financial Promotions, • Best Execution, • ICS or United Kingdom Financial Services Compensation Scheme and you may not be able to complain to the Financial Services and Pensions Ombudsman or United Kingdom Financial Ombudsman Service.
We will provide services to you on the basis that only you are our client and so, if you act on behalf of another person, whether or not you tell us about them, they will not be our client for the purposes of the MiFID II Regulations.
We will provide services to you on the basis that you are a retail client under the MiFID II Regulations.
On 14 July 2017, the Irish Department of Finance issued a feedback statement in advance of the publication of the Irish MiFID II Regulations.