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
  • Commission Delegated Regulation (EU) 2022/1930of 6 July 2022amending the regulatory technical standards laid down in Delegated Regulation (EU) 2018/1229 as regards the date of application of the provisions related to the buy-in regime(Text with EEA relevance), 32022R1930, October 13, 2022
  • Commission Delegated Regulation (EU) 2023/1626of 19 April 2023on amending the regulatory technical standards laid down in Delegated Regulation (EU) 2018/1229 as regards the penalty mechanism for settlement fails relating to cleared transactions submitted by CCPs for settlement(Text with EEA relevance), 32023R1626, August 11, 2023
Commission Delegated Regulation (EU) 2018/1229of 25 May 2018supplementing 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) CHAPTER IGeneral
Article 1DefinitionsFor the purposes of this Regulation, the following definitions apply:(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 CouncilRegulation (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 CouncilDirective 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 CouncilDirective 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.
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