{
  "url": "https://openlegislation.uk/eu-regulation-2017-589",
  "json_url": "https://openlegislation.uk/eu-regulation-2017-589.json",
  "id": "eur/2017/589",
  "title": "Commission Delegated Regulation (EU) 2017/589 of 19 July 2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards specifying the organisational requirements of investment firms engaged in algorithmic trading (Text with EEA relevance)",
  "short_title": "Regulation (EU) 2017/589 supplementing Directive 2014/65/EU of the European Parliament and of the Council…",
  "long_title": "Commission Delegated Regulation (EU) 2017/589 of 19 July 2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards specifying the organisational requirements of investment firms engaged in algorithmic trading (Text with EEA relevance)",
  "citation": "EU Regulation 2017/589",
  "type": "eur",
  "year": "2017",
  "number": "589",
  "version": "current",
  "date": "2016-07-19",
  "revised": false,
  "valid_from": null,
  "extent": "E+W+S+N.I.",
  "unapplied_effects": 1,
  "provisions": [
    {
      "path": "introduction",
      "kind": "introduction",
      "number": null,
      "heading": "Introductory text",
      "url": "https://openlegislation.uk/eu-regulation-2017-589/introduction",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "chapter/I",
      "kind": "chapter",
      "number": "I",
      "heading": "GENERAL ORGANISATIONAL REQUIREMENTS",
      "url": null,
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "article/1",
      "kind": "article",
      "number": "1",
      "heading": "General organisational requirements(Article 17(1) of Directive 2014/65/EU)",
      "url": "https://openlegislation.uk/eu-regulation-2017-589/article-1",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/I"
    },
    {
      "path": "article/2",
      "kind": "article",
      "number": "2",
      "heading": "Role of the compliance function(Article 17(1) of Directive 2014/65/EU)",
      "url": "https://openlegislation.uk/eu-regulation-2017-589/article-2",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/I"
    },
    {
      "path": "article/3",
      "kind": "article",
      "number": "3",
      "heading": "Staffing(Article 17(1) of Directive 2014/65/EU)",
      "url": "https://openlegislation.uk/eu-regulation-2017-589/article-3",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/I"
    },
    {
      "path": "article/4",
      "kind": "article",
      "number": "4",
      "heading": "IT outsourcing and procurement(Article 17(1) of Directive 2014/65/EU)",
      "url": "https://openlegislation.uk/eu-regulation-2017-589/article-4",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/I"
    },
    {
      "path": "chapter/II",
      "kind": "chapter",
      "number": "II",
      "heading": "RESILIENCE OF TRADING SYSTEMS",
      "url": null,
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "chapter/II/section/I",
      "kind": "section",
      "number": "I",
      "heading": "Testing and deployment of trading algorithms systems and strategies",
      "url": null,
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/II"
    },
    {
      "path": "article/5",
      "kind": "article",
      "number": "5",
      "heading": "General methodology(Article 17(1) of Directive 2014/65/EU)",
      "url": "https://openlegislation.uk/eu-regulation-2017-589/article-5",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/II/section/I"
    },
    {
      "path": "article/6",
      "kind": "article",
      "number": "6",
      "heading": "Conformance testing(Article 17(1) of Directive 2014/65/EU)",
      "url": "https://openlegislation.uk/eu-regulation-2017-589/article-6",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/II/section/I"
    },
    {
      "path": "article/7",
      "kind": "article",
      "number": "7",
      "heading": "Testing environments(Article 17(1) of Directive 2014/65/EU)",
      "url": "https://openlegislation.uk/eu-regulation-2017-589/article-7",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/II/section/I"
    },
    {
      "path": "article/8",
      "kind": "article",
      "number": "8",
      "heading": "Controlled deployment of algorithms(Article 17(1) of Directive 2014/65/EU)",
      "url": "https://openlegislation.uk/eu-regulation-2017-589/article-8",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/II/section/I"
    },
    {
      "path": "chapter/II/section/2",
      "kind": "section",
      "number": "2",
      "heading": "Post-deployment management",
      "url": null,
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/II"
    },
    {
      "path": "article/9",
      "kind": "article",
      "number": "9",
      "heading": "Annual self-assessment and validation(Article 17(1) of Directive 2014/65/EU)",
      "url": "https://openlegislation.uk/eu-regulation-2017-589/article-9",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/II/section/2"
    },
    {
      "path": "article/10",
      "kind": "article",
      "number": "10",
      "heading": "Stress testing(Article 17(1) of Directive 2014/65/EU)",
      "url": "https://openlegislation.uk/eu-regulation-2017-589/article-10",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/II/section/2"
    },
    {
      "path": "article/11",
      "kind": "article",
      "number": "11",
      "heading": "Management of material changes(Article 17(1) of Directive 2014/65/EU)",
      "url": "https://openlegislation.uk/eu-regulation-2017-589/article-11",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/II/section/2"
    },
    {
      "path": "chapter/II/section/3",
      "kind": "section",
      "number": "3",
      "heading": "Means to ensure resilience",
      "url": null,
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/II"
    },
    {
      "path": "article/12",
      "kind": "article",
      "number": "12",
      "heading": "Kill functionality(Article 17(1) of Directive 2014/65/EU)",
      "url": "https://openlegislation.uk/eu-regulation-2017-589/article-12",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/II/section/3"
    },
    {
      "path": "article/13",
      "kind": "article",
      "number": "13",
      "heading": "Automated surveillance system to detect market manipulation(Article 17(1) of Directive 2014/65/EU)",
      "url": "https://openlegislation.uk/eu-regulation-2017-589/article-13",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/II/section/3"
    },
    {
      "path": "article/14",
      "kind": "article",
      "number": "14",
      "heading": "Business continuity arrangements(Article 17(1) of Directive 2014/65/EU)",
      "url": "https://openlegislation.uk/eu-regulation-2017-589/article-14",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/II/section/3"
    },
    {
      "path": "article/15",
      "kind": "article",
      "number": "15",
      "heading": "Pre-trade controls on order entry(Article 17(1) of Directive 2014/65/EU)",
      "url": "https://openlegislation.uk/eu-regulation-2017-589/article-15",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/II/section/3"
    },
    {
      "path": "article/16",
      "kind": "article",
      "number": "16",
      "heading": "Real-time monitoring(Article 17(1) of Directive 2014/65/EU)",
      "url": "https://openlegislation.uk/eu-regulation-2017-589/article-16",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/II/section/3"
    },
    {
      "path": "article/17",
      "kind": "article",
      "number": "17",
      "heading": "Post-trade controls(Article 17(1) of Directive 2014/65/EU)",
      "url": "https://openlegislation.uk/eu-regulation-2017-589/article-17",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/II/section/3"
    },
    {
      "path": "article/18",
      "kind": "article",
      "number": "18",
      "heading": "Security and limits to access(Article 17(1) of Directive 2014/65/EU)",
      "url": "https://openlegislation.uk/eu-regulation-2017-589/article-18",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/II/section/3"
    },
    {
      "path": "chapter/III",
      "kind": "chapter",
      "number": "III",
      "heading": "DIRECT ELECTRONIC ACCESS",
      "url": null,
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "article/19",
      "kind": "article",
      "number": "19",
      "heading": "General provisions for DEA(Article 17(5) of Directive 2014/65/EU)",
      "url": "https://openlegislation.uk/eu-regulation-2017-589/article-19",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/III"
    },
    {
      "path": "article/20",
      "kind": "article",
      "number": "20",
      "heading": "Controls of DEA providers(Article 17(5) of Directive 2014/65/EU)",
      "url": "https://openlegislation.uk/eu-regulation-2017-589/article-20",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/III"
    },
    {
      "path": "article/21",
      "kind": "article",
      "number": "21",
      "heading": "Specifications for the systems of DEA providers(Article 17(5) of Directive 2014/65/EU)",
      "url": "https://openlegislation.uk/eu-regulation-2017-589/article-21",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/III"
    },
    {
      "path": "article/22",
      "kind": "article",
      "number": "22",
      "heading": "Due diligence assessment of prospective DEA clients(Article 17(5) of Directive 2014/65/EU)",
      "url": "https://openlegislation.uk/eu-regulation-2017-589/article-22",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/III"
    },
    {
      "path": "article/23",
      "kind": "article",
      "number": "23",
      "heading": "Periodic review of DEA clients(Article 17(5) of Directive 2014/65/EU)",
      "url": "https://openlegislation.uk/eu-regulation-2017-589/article-23",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/III"
    },
    {
      "path": "chapter/IV",
      "kind": "chapter",
      "number": "IV",
      "heading": "INVESTMENT FIRMS ACTING AS GENERAL CLEARING MEMBERS",
      "url": null,
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "article/24",
      "kind": "article",
      "number": "24",
      "heading": "Systems and controls of investment firms acting as general clearing members(Article 17(6) of Directive 2014/65/EU)",
      "url": "https://openlegislation.uk/eu-regulation-2017-589/article-24",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/IV"
    },
    {
      "path": "article/25",
      "kind": "article",
      "number": "25",
      "heading": "Due diligence assessments of prospective clearing clients(Article 17(6) of Directive 2014/65/EU)",
      "url": "https://openlegislation.uk/eu-regulation-2017-589/article-25",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/IV"
    },
    {
      "path": "article/26",
      "kind": "article",
      "number": "26",
      "heading": "Position limits(Article 17(6) of Directive 2014/65/EU)",
      "url": "https://openlegislation.uk/eu-regulation-2017-589/article-26",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/IV"
    },
    {
      "path": "article/27",
      "kind": "article",
      "number": "27",
      "heading": "Disclosure of information about the services provided(Article 17(6) of Directive 2014/65/EU)",
      "url": "https://openlegislation.uk/eu-regulation-2017-589/article-27",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/IV"
    },
    {
      "path": "chapter/V",
      "kind": "chapter",
      "number": "V",
      "heading": "HIGH-FREQUENCY ALGORITHMIC TRADING TECHNIQUE AND FINAL PROVISIONS",
      "url": null,
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "article/28",
      "kind": "article",
      "number": "28",
      "heading": "Content and format of order records(Article 17(2) of Directive 2014/65/EU)",
      "url": "https://openlegislation.uk/eu-regulation-2017-589/article-28",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/V"
    },
    {
      "path": "article/29",
      "kind": "article",
      "number": "29",
      "heading": "Entry into force and application(Article 17(2) of Directive 2014/65/EU)",
      "url": "https://openlegislation.uk/eu-regulation-2017-589/article-29",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/V"
    },
    {
      "path": "signature",
      "kind": "signature",
      "number": null,
      "heading": "Signature",
      "url": "https://openlegislation.uk/eu-regulation-2017-589/signature",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "annex/I",
      "kind": "annex",
      "number": "I",
      "heading": "Criteria to be considered in the investment firm's self-assessment as referred to in Article 9(1)",
      "url": "https://openlegislation.uk/eu-regulation-2017-589/annex-I",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "annex/II",
      "kind": "annex",
      "number": "II",
      "heading": "Content and format of order records as referred to in Article 28",
      "url": "https://openlegislation.uk/eu-regulation-2017-589/annex-II",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    }
  ],
  "outstanding_effects": [
    {
      "type": "revoked",
      "affected_provisions": "Regulation",
      "affecting": "ukpga/2023/29",
      "affecting_title": "Financial Services and Markets Act 2023",
      "affecting_provisions": "Sch. 1 Pt. 3"
    }
  ],
  "made_under": [],
  "changes_made_to": 3,
  "changes_made_to_url": "https://openlegislation.uk/eu-regulation-2017-589/changes.json",
  "changes_made_by": 0,
  "changes_made_by_url": "https://openlegislation.uk/eu-regulation-2017-589/changes/by-it.json",
  "instruments_made_under": 0,
  "instruments_made_under_url": "https://openlegislation.uk/eu-regulation-2017-589/instruments.json",
  "provenance": {
    "source": "legislation.gov.uk",
    "source_url": "https://www.legislation.gov.uk/eur/2017/589",
    "retrieved_at": "2026-11-01T14:45:04.882781+00:00"
  },
  "licence": "Open Government Licence v3.0",
  "licence_url": "https://www.nationalarchives.gov.uk/doc/open-government-licence/version/3/",
  "attribution": "Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives."
}