OpenLegislation

Section 1 Organisation

United Kingdom

Original text. Later amendments are not shown.

  1. 5(Article 13(2) to (8) of Directive 2004/39/EC)General organisational requirements
  2. 6(Article 13(2) of Directive 2004/39/EC)Compliance
  3. 7(second subparagraph of Article 13(5) of Directive 2004/39/EC)Risk management
  4. 8(second subparagraph of Article 13(5) of Directive 2004/39/EC)Internal audit
  5. 9(Article 13(2) of Directive 2004/39/EC)Responsibility of senior management
  6. 10(Article 13(2) of Directive 2004/39/EC)Complaints handling
  7. 11(Article 13(2) of Directive 2004/39/EC)Meaning of personal transaction
  8. 12(Article 13(2) of Directive 2004/39/EC)Personal transactions