Regulations

Overview of current and near term EU regulation in financial services

This section describes some of the most relevant new regulatory requirements facing you as a customer to Nordea Markets. Our aim is to provide you with information and insights about important regulatory developments in an easily accessible and understandable way.

 

The information provided within this website is intended for background information only. The views and other information provided herein are the current views of Nordea Markets as of the date of publication and are subject to change without notice. The information provided within this website is not an exhaustive description of the described product or the risks related to it, and it should not be relied on as such, nor is it a substitute for the judgement of the recipient.

The information provided within this website is not intended to constitute and does not constitute investment advice nor is the information intended as an offer or solicitation for the purchase or sale of any financial instrument. The information provided within this website has no regard to the specific investment objectives, the financial situation or particular needs of any particular recipient. Relevant and specific professional advice should always be obtained before making any investment or credit decision. It is important to note that past performance is not indicative of future results.

Nordea Markets is not and does not purport to be an adviser as to legal, taxation, accounting or regulatory matters in any jurisdiction.

The information provided within this website may not be reproduced, distributed or published for any purpose without the prior written consent from Nordea Markets.

Regulations

Nordea Markets

MiFID II / Overview

MiFID II was published in the EU Official Journal on 12 June 2014 and will be implemented in January 2018.

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Nordea Markets

MiFID II / Customer Information

Nordea Markets outline how MiFID II affect our business relationship, what you need to do and know, in order to be prepared for MIFID II.

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Nordea Markets

MiFID II / FX exemption

New EU legislation is changing the requirements for trading financial instruments from 3 January 2018. We also need to know the purpose of your future FX trading.

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Nordea Markets

LEI

The Legal Entity Identifier (currently known as pre-LEI, later LEI) is a reference number to uniquely identify parties in financial transactions worldwide, throughout all markets and legal systems.

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Nordea Markets

KIDs for PRIIPs

Key Information Documents (KIDs) are documents designed to help investors to understand investment products behaviour and support comparison with other similar investment products.

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Nordea Markets

EMIR

Requires derivatives counterparties in EU to clear, report and risk mitigate derivatives transactions.

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Nordea Markets

CRD IV/CRR

Implements the Basel III capital and liquidity re-quirements in the European Union to improve the re-siliency of the banking sector.

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Nordea Markets

Dodd-Frank

Establishes a new US regulatory framework for over-the-counter derivatives and encompasses rules in regards to trade execution, clearing and reporting of these.

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Nordea Markets

SFTR

The European Union has introduced the Securities Finance Transaction Regulation (SFTR) to enhance the transparency and regulatory oversight of the securities financing market.

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