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 DirectiveText with EEA relevance.

Article 24(4) of Directive 2014/65/EU

Articles 44 to 51 of this Regulation

Client agreementsRecords 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 appropriatenessContent 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 handlingClient order-handling – Aggregated transactionsRecords 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 accountRecords 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 transactionsRecord keeping of client orders or decision to dealRecords 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 processingRecords as provided for under Article 75 of this Regulation

Article 16(6) of Directive 2014/65/EU

Article 75 of this Regulation

Reporting to clientsObligation in respect of services provided to clientsContents 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 assetsClient financial instruments held by an investment firmRecords 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 firmRecords 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 instrumentsRecords 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 clientsInformation about Costs and associated chargesContents 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 assetsContent 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 clientsRecords of communication

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 researchEach 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 requirementsThe firm’s business and internal organisationRecords 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 reportsEach 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 recordRecords as provided for under Article 35 of this Regulation

Article 16(3) of Directive 2014/65/EU

Article 35 of this Regulation

InducementsThe 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 reportsEach 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 reportsEach 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 recordsEach 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 transactionsRecords 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