2004-04-21

Added 2026-09-23

Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments amending Council Directives 85/611/EEC and 93/6/EEC and Directive 2000/12/EC of the European Parliament and of the Council and repealing Council Directive 93/22/EEC

European Union

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Supersedes: Directive No. 93/22/EEC of 1993not in RegAlert
Amended by: Directive 2010/78/EU of the European Parliament and of the Council of 24 November 2010 amending Directives 98/26/EC, 2002/87/EC, 2003/6/EC, 2003/41/EC, 2003/71/EC, 2004/39/EC, 2004/109/EC, 2005/60/EC, 2006/48/EC, 2006/49/EC and 2009/65/EC in respect of the powers of the European Supervisory Authority (European Banking Authority), the European Supervisory Authority (European Insurance and Occupational Pensions Authority) and the European Supervisory Authority (European Securities and Markets Authority) Text with EEA relevance2010 Directive 2007/44/EC of the European Parliament and of the Council of 5 September 2007 amending Council Directive 92/49/EEC and Directives 2002/83/EC, 2004/39/EC, 2005/68/EC and 2006/48/EC as regards procedural rules and evaluation criteria for the prudential assessment of acquisitions and increase of holdings in the financial sector (Text with EEA relevance )2007
Amends: Directive 2000/12/EC of the European Parliament and of the Council of 20 March 2000 relating to the taking up and pursuit of the business of credit institutions2000Directive No. 85/611/EEC of 1985not in RegAlertDirective No. 93/6/EEC of 1993not in RegAlert
Basis for: Annotated Text of the Minimum Requirements for Risk Management (MaRisk) – Version of 16 August 20212022 Draft RTS and ITS on MiFID II and MiFIR Transparency and Microstructural Requirements2015 Technical Standards on Assessing Acquisitions and Increases in Qualifying Holdings in Investment Firms under MiFID2015 Circular 10/2012: Minimum Requirements for Risk Management (MaRisk)2014 Securities Market Act (Värdepappersmarknadslag (2007:528))2007 Commission Directive 2006/73/EC of 10 August 2006 implementing Directive 2004/39/EC 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 Directive (Text with EEA relevance)2006
+3 more
Commission Regulation (EC) No 1287/2006 of 10 August 2006 implementing Directive 2004/39/EC of the European Parliament and of the Council as regards record-keeping obligations for investment firms, transaction reporting, market transparency, admission of financial instruments to trading, and defined terms for the purposes of that Directive (Text with EEA relevance)2006 Ordinance No. 15 of 05.05.2004 on the keeping and storage of registers by the Financial Supervision Commission and on the circumstances subject to registration2004 Zákon č. 483/2001 Z. z. o bankách a o zmene a doplnení niektorých zákonov (Act No. 483/2001 Coll. on Banks and on Amendments to Certain Laws)2001
Referred to by: Order on the Calculation of Qualifying Holdings2024 Royal Decree 1082/2012 approving the Regulation for the development of the Collective Investment Institutions Law 35/20032024 Royal Decree 816/2023 modifying the Regulation developing the Law on Collective Investment Institutions2023 Regulation of the National Bank of Belgium of 1 April 2014 on proprietary trading activity2022 Authorised Collective Investment Schemes (Class A) Rules 20082020 Royal Decree 877/2015 on the Reserve Fund for Banking Foundations and Amendments to Audit and Investment Institution Regulations2020
+20 more
Circular CSSF 19/723 — ESMA Guidelines on the application of the definitions of commodity derivatives in Sections C6 and C7 of Annex I of MiFID II2019 ESMA Decision on Withdrawal of MiFID Guidelines on Systems and Controls in Automated Trading2018 Joint Guidelines on the prudential assessment of acquisitions and increases of qualifying holdings in the financial sector2017 Regulations amending quarterly statistics requirements for certain securities companies2017 Notice on the Granting of Authorisation to Provide Financial Services under Section 32(1) of the German Banking Act2016 FSMA Regulation governing the distribution of certain derivative financial instruments to consumers2016 ESMA Final Report on Draft RTS and ITS for MiFID II and MiFIR2015 Investor Compensation Act (Anlegerentschädigungsgesetz, or AnlEntG)2015 Final report on ESMA's draft technical standards on the Clearing Obligation for Interest Rate OTC Derivatives2014 Final Report on amended EMIR implementing technical standards2013 BaFin Guidance Notice on Notification of Market Making and Primary Market Operations under Article 17 of the EU Short Selling Regulation2012 Final report on draft technical standards for Regulation (EU) No 236/2012 on short selling and credit default swaps2012 Circular 7/2011 of the National Securities Market Commission on Information Brochures on Tariffs and Content of Standard Contracts2011 Decision on the provision and collection of information for macro-prudential oversight2011 Law 15/2011, of June 16, amending certain financial rules to apply Regulation (EC) No 1060/2009 on Credit Rating Agencies2011 Royal Decree of 14 February 2008 on disclosure of major shareholdings2008 Law of 2 May 2007 on disclosure of major holdings in issuers whose shares are admitted to trading on a regulated market2007 Royal Decree of 12 January 2007 on the prudential supervision of institutions for occupational retirement provision2007 CP10 - Public Response to CP10 Consumer Protection Code2005 Law on the Takeover of Joint Stock Companies – Unofficial Consolidated Text (NN, Nos. 109/07, 36/09, 108/12 and 148/13)

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Amended 2 times · last 2010-11-24

This document amends: Directive 2000/12/EC of the European Parliament and of the Council of 20 March 2000 relating to the taking up and pursuit of the business of credit institutions

Source: European Union — original document · Summary generated with machine assistance and reviewed before publication; the authoritative text is the regulator's original document. How RegAlert works