(a) "clearing member" means an undertaking as defined in point (14) of Article 2 of Regulation (EU) No 648/2012 of the European Parliament and of the Council Regulation (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories (OJ L 201, 27.7.2012, p. 1 ).(b) "exchange-traded fund (ETF)" means a fund as defined in point (46) of Article 4(1) of Directive 2014/65/EU of the European Parliament and of the Council 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 (OJ L 173, 12.6.2014, p. 349 ).(c) "execution of orders" means "execution of orders on behalf of clients" as defined in point (5) of Article 4(1) of Directive 2014/65/EU; (d) "retail client" means a retail client as defined in point (11) of Article 4(1) of Directive 2014/65/EU; (e) "settlement instruction" means a transfer order as defined in point (i) of Article 2 of Directive 98/26/EC of the European Parliament and of the Council Directive 98/26/EC of the European Parliament and of the Council of 19 May 1998 on settlement finality in payment and securities settlement systems (OJ L 166, 11.6.1998, p. 45 ).(f) "trading party" means a party acting as principal in a securities transaction referred to in point (c) of the first subparagraph of Article 7(10) of Regulation (EU) No 909/2014; (g) "trading venue member" means a member of, or a participant to, a trading venue.
Commission Delegated Regulation (EU) 2018/1229 of 25 May 2018 supplementing Regulation (EU) No 909/2014 of the European Parliament and of the Council with regard to regulatory technical standards on settlement discipline (Text with EEA relevance.)
Modified by
- Commission Delegated Regulation (EU) 2019/1689of 29 May 2019correcting the Romanian language version of Delegated Regulation (EU) 2018/1229 supplementing Regulation (EU) No 909/2014 of the European Parliament and of the Council with regard to regulatory technical standards on settlement discipline(Text with EEA relevance), 32019R1689, October 10, 2019
- Commission Delegated Regulation (EU) 2020/1212of 8 May 2020amending Delegated Regulation (EU) 2018/1229 supplementing Regulation (EU) No 909/2014 of the European Parliament and of the Council with regard to regulatory technical standards on settlement discipline(Text with EEA relevance), 32020R1212, August 24, 2020
- Commission Delegated Regulation (EU) 2021/70of 23 October 2020amending Delegated Regulation (EU) 2018/1229 concerning the regulatory technical standards on settlement discipline, as regards its entry into force(Text with EEA relevance), 32021R0070, January 27, 2021
Loading ...