Intermediaries

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This section brings together the provisions governing the activities of intermediaries in financial markets, investment services and activities, as well as conduct obligations, organisational requirements and supervisory arrangements established by the applicable regulatory framework.

It contains the main references relating to authorised entities, investment services, financial advice, collective portfolio management and the other regulatory areas applicable to supervised intermediaries.

The section also includes dedicated content on specific topics of particular relevance, including FinTech, crowdfunding, anti-money laundering, digital operational resilience and supervision of financial conglomerates.

General framework
Overview of the regulatory framework applicable to intermediaries, including the main regulatory areas and conduct requirements.
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Investment services
Rules and guidance applicable to entities providing investment services and activities, including conduct obligations, transparency requirements and investor protection rules.
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Digital Finance
Rules applicable to technological innovation in financial services, including crypto-assets, digital operational resilience and the use of emerging technologies.
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Financial advisers
Rules governing investment advisory activities, registration requirements, operating conditions and supervisory arrangements.
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Collective asset management
Rules applicable to collective investment undertakings, management companies and alternative investment fund managers, including organisational, management and disclosure obligations towards investors.
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Crowdfunding
European and national regulatory framework applicable to crowdfunding service providers, including authorisation requirements, operational rules and investor protection measures.
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Financial conglomerates
Regulatory framework governing supplementary supervision of groups operating across different financial sectors, with particular attention to financial stability and coordination among supervisory authorities.
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Anti-money laundering and counter-terrorism financing
Rules concerning the prevention of money laundering and terrorist financing applicable to supervised intermediaries, including customer due diligence obligations and reporting requirements.
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see also