--- title: "Annex IV" type: regulation legal_status: in_force source: "https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:02014L0065-20260606" source_retrieved: 2026-10-02 shortTitle: "Annex IV" instrument_type: level1_directive authority: Commission binding: true binding_character: binding mica_level2: false legal_basis: "Directive 2014/65/EU" instrument: mifid2 celex: "32014L0065" regulation: MiFID II regulation-full: "Directive 2014/65/EU" annex: IV status: in_force object_id: eu.mifid2.legal_text.annex.iv text_version: "Consolidated version of 6 June 2026" source_url: "https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:02014L0065-20260606" check_status: matched verified: true last_checked: 2026-10-26 --- *In force · Consolidated version of 6 June 2026 · Checked against EUR-Lex on 26 Oct 2026 · [Official source](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:02014L0065-20260606)* ### Correlation table referred in Article 94 | Directive 2004/39/EC | Directive 2014/65/EU | Regulation (EU) No 600/2014 | | --- | --- | --- | | Article 1(1) | Article 1(1) | | | Article 1(2) | Article 1(3) | | | Article 2(1)(a) | Article 2(1)(a) | | | Article 2(1)(b) | Article 2(1)(b) | | | Article 2(1)(c) | Article 2(1)(c) | | | Article 2(1)(d) | Article 2(1)(d) | | | Article 2(1)(e) | Article 2(1)(f) | | | Article 2(1)(f) | Article 2(1)(g) | | | Article 2(1)(g) | Article 2(1)(h) | | | Article 2(1)(h) | Article 2(1)(i) | | | Article 2(1)(i) | Article 2(1)(j) | | | Article 2(1)(j) | Article 2(1)(k) | | | Article 2(1)(k) | Article 2(1)(i) | | | Article 2(1)(l) | — | | | Article 2(1)(m) | Article 2(1)(l) | | | Article 2(1)(n) | Article 2(1)(m) | | | Article 2(2) | Article 2(2) | | | Article 2(3) | Article 2(4) | | | Article 3(1) | Article 3(1) | | | Article 3(2) | Article 3(3) | | | Article 4(1)(1) | Article 4(1)(1) | | | Article 4(1)(2) | Article 4(1)(2) | | | Article 4(1)(3) | Article 4(1)(3) | | | Article 4(1)(4) | Article 4(1)(4) | | | Article 4(1)(5) | Article 4(1)(5) | | | Article 4(1)(6) | Article 4(1)(6) | | | Article 4(1)(7) | Article 4(1)(20) | | | Article 4(1)(8) | Article 4(1)(7) | | | Article 4(1)(9) | Article 4(1)(8) | | | Article 4(1)(10) | Article 4(1)(9) | | | Article 4(1)(11) | Article 4(1)(10) | | | Article 4(1)(12) | Article 4(1)(11) | | | Article 4(1)(13) | Article 4(1)(18) | | | Article 4(1)(14) | Article 4(1)(21) | | | Article 4(1)(15) | Article 4(1)(22) | | | Article 4(1)(16) | Article 4(1)(14) | | | Article 4(1)(17) | Article 4(1)(15) | | | Article 4(1)(18) | Article 4(1)(44) | | | Article 4(1)(19) | Article 4(1)(17) | | | Article 4(1)(20) | Article 4(1)(55) | | | Article 4(1)(21) | Article 4(1)(56) | | | Article 4(1)(22) | Article 4(1)(26) | | | Article 4(1)(23) | Article 4(1)(27) | | | Article 4(1)(24) | Article 4(1)(28) | | | Article 4(1)(25) | Article 4(1)(29) | | | Article 4(1)(26) | Article 4(1)(30) | | | Article 4(1)(27) | Article 4(1)(31) | | | Article 4(1)(28) | Article 4(1)(32) | | | Article 4(1)(29) | Article 4(1)(33) | | | Article 4(1)(30) | Article 4(1)(35)(b) | | | Article 4(1)(31) | Article 4(1)(35) | | | Article 4(2) | Article 4(2) | | | Article 5(1) | Article 5(1) | | | Article 5(2) | Article 5(2) | | | Article 5(3) | Article 5(3) | | | Article 5(4) | Article 5(4) | | | Article 5(5) | — | | | Article 6(1) | Article 6(1) | | | Article 6(2) | Article 6(2) | | | Article 6(3) | Article 6(3) | | | Article 7(1) | Article 7(1) | | | Article 7(2) | Article 7(2) | | | Article 7(3) | Article 7(3) | | | Article 7(4) | Article 7(4) and (5) | | | Article 8(a) | Article 8(a) | | | Article 8(b) | Article 8(b) | | | Article 8(c) | Article 8(c) | | | Article 8(d) | Article 8(d) | | | Article 8(e) | Article 8(e) | | | Article 9(1) | Article 9(1) and (3) | | | Article 9(2) | Article 9(5) | | | Article 9(3) | Article 9(4) | | | Article 9(4) | Article 9(6) | | | Article 10(1) | Article 10(1) | | | Article 10(2) | Article 10(2) | | | Article 10(3) | Article 11(1) | | | Article 10(4) | Article 11(2) | | | Article 10(5) | Article 11(3) | | | Article 10(6) | Article 10(3), 11(4) | | | Article 10a(1) | Article 12(1) | | | Article 10a(2) | Article 12(2) | | | Article 10a(3) | Article 12(3) | | | Article 10a(4) | Article 12(4) | | | Article 10a(5) | Article 12(5) | | | Article 10a(6) | Article 12(6) | | | Article 10a(7) | Article 12(7) | | | Article 10a(8) | Article 12(8) and (9) | | | Article 10b(1) | Article 13(1) | | | Article 10b(2) | Article 13(2) | | | Article 10b(3) | Article 13(3) | | | Article 10b(4) | Article 13(4) | | | Article 10b(5) | Article 13(5) | | | Article 11 | Article 14 | | | Article 12 | Article 15 | | | Article 13(1) | Article 16(1) | | | Article 13(2) | Article 16(2) | | | Article 13(3) | Article 16(3) | | | Article 13(4) | Article 16(4) | | | Article 13(5) | Article 16(5) | | | Article 13(6) | Article 16(6) | | | Article 13(7) | Article 16(8) | | | Article 13(8) | Article 16(9) | | | Article 13(9) | Article 16(11) | | | Article 13(10) | Article 16(12) | | | Article 14(1) | Article 18(1), Article 19(1) | | | Article 14(2) | Article 18(2) | | | Article 14(3) | Article 19(4) | | | Article 14(4) | Article 18(3), Article 19(2) | | | Article 14(5) | Article 18(6), Article 19(3) | | | Article 14(6) | Article 18(8) | | | Article 14(7) | Article 18(9) | | | Article 15 | — | | | Article 16(1) | Article 21(1) | | | Article 16(2) | Article 21(2) | | | Article 16(3) | — | | | Article 17(1) | Article 22 | | | Article 17(2) | — | | | Article 18(1) | Article 23(1) | | | Article 18(2) | Article 23(2) | | | Article 18(3) | Article 23(4) | | | Article 19(1) | Article 24(1) | | | Article 19(2) | Article 24(3) | | | Article 19(3) | Article 24(4) | | | Article 19(4) | Article 25(2) | | | Article 19(5) | Article 25(3) | | | Article 19(6) | Article 25(4) | | | Article 19(7) | Article 25(5) | | | Article 19(8) | Article 25(6) | | | Article 19(9) | Article 24(6), Article 25(7) | | | Article 19(10) | Article 24(13), Article 24(14), Article 25(8) | | | Article 20 | Article 26 | | | Article 21(1) | Article 27(1) | | | Article 21(2) | Article 27(4) | | | Article 21(3) | Article 27(5) | | | Article 21(4) | Article 27(7) | | | Article 21(5) | Article 27(8) | | | Article 21(6) | Article 27(9) | | | Article 22(1) | Article 28(1) | | | Article 22(2) | Article 28(2) | | | Article 22(3) | Article 28(3) | | | Article 23(1) | Article 29(1) | | | Article 23(2) | Article 29(2) | | | Article 23(3) | Article 29(3) | | | Article 23(4) | Article 29(4) | | | Article 23(5) | Article 29(5) | | | Article 23(6) | Article 29(6) | | | Article 24(1) | Article 30(1) | | | Article 24(2) | Article 30(2) | | | Article 24(3) | Article 30(3) | | | Article 24(4) | Article 30(4) | | | Article 24(5) | Article 30(5) | | | Article 25(1) | | Article 24 | | Article 25(2) | | Article 25(1) | | Article 25(3) | | Article 26(1) and (2) | | Article 25(4) | | Article 26(3) | | Article 25(5) | | Article 26(7) | | Article 25(6) | | Article 26(8) | | Article 25(7) | | Article 26(9) | | Article 26(1) | Article 31(1) | | | Article 26(2) | Article 31(2) and (3) | | | Article 27(1) | | Article 14(1) to (5) | | Article 27(2) | | Article 14(6) | | Article 27(3) | | Article 15(1) to (4) | | Article 27(4) | | Article 16 | | Article 27(5) | | Article 17(1) | | Article 27(6) | | Article 17(2) | | Article 27(7) | | Article 17(3) | | Article 28(1) | | Article 20(1) | | Article 28(2) | | Article 20(2) | | Article 28(3) | | Article 20(3) | | Article 29(1) | | Article 3(1), (2) and (3) | | Article 29(2) | | Article 4(1), (2) and (3) | | Article 29(3) | | Article 4(6) | | Article 30(1) | | Article 6(1) and (2) | | Article 30(2) | | Article 7(1) | | Article 30(3) | | Article 7(2) | | Article 31(1) | Article 34(1) | | | Article 31(2) | Article 34(2) | | | Article 31(3) | Article 34(3) | | | Article 31(4) | Article 34(4) | | | Article 31(5) | Article 34(6) | | | Article 31(6) | Article 34(7) | | | Article 31(7) | Article 34(8) and (9) | | | Article 32(1) | Article 35(1) | | | Article 32(2) | Article 35(2) | | | Article 32(3) | Article 35(3) | | | Article 32(4) | Article 35(4) | | | Article 32(5) | Article 35(5) | | | Article 32(6) | Article 35(6) | | | Article 32(7) | Article 35(8) | | | Article 32(8) | Article 35(9) | | | Article 32(9) | Article 35(10) | | | Article 32(10) | Article 35(11) and (12) | | | Article 33(1) | Article 36(1) | | | Article 33(2) | Article 36(2) | | | Article 34(1) | Article 37(1) | | | Article 34(2) | Article 37(2) | | | Article 34(3) | — | | | Article 35(1) | Article 38(1) | | | Article 35(2) | Article 38(2) | | | Article 36(1) | Article 44(1) | | | Article 36(2) | Article 44(2) | | | Article 36(3) | Article 44(3) | | | Article 36(4) | Article 44(4) | | | Article 36(5) | Article 44(5) | | | Article 36(6) | Article 44(6) | | | Article 37(1) | Article 45(1) and (8) | | | Article 37(2) | Article 45(7) second subparagraph | | | Article 38(1) | Article 46(1) | | | Article 38(2) | Article 46(2) | | | Article 38(3) | Article 46(3) | | | Article 39 | Article 47(1) | | | Article 40(1) | Article 51(1) | | | Article 40(2) | Article 51(2) | | | Article 40(3) | Article 51(3) | | | Article 40(4) | Article 51(4) | | | Article 40(5) | Article 51(5) | | | Article 40(6) | Article 51(6) | | | Article 41(1) | Article 52(1) | | | Article 41(2) | Article 52(2) | | | Article 42(1) | Article 53(1) | | | Article 42(2) | Article 53(2) | | | Article 42(3) | Article 53(3) | | | Article 42(4) | Article 53(4) | | | Article 42(5) | Article 53(5) | | | Article 42(6) | Article 53(6) | | | Article 42(7) | Article 53(7) | | | Article 43(1) | Article 54(1) | | | Article 43(2) | Article 54(2) and (3) | | | Article 44(1) | | Article 3(1), (2) and (3) | | Article 44(2) | | Article 4(1), (2) and (3) | | Article 44(3) | | Article 4(6) | | Article 45(1) | | Article 6(1) and (2) | | Article 45(2) | | Article 7(1) | | Article 45(3) | | Article 7(2) | | Article 46(1) | Article 55(1) | | | Article 46(2) | Article 55(2) | | | Article 47 | Article 56 | | | Article 48(1) | Article 67(1) | | | Article 48(2) | Article 67(2) | | | Article 48(3) | Article 67(3) | | | Article 49 | Article 68 | | | Article 50(1) | Article 69(1), 72(1) | | | Article 50(2) | Article 69(2) | | | Article 51(1) | Article 70(1) and (2) | | | Article 51(2) | Article 70(5) | | | Article 51(3) | Article 71(1) | | | Article 51(4) | Article 71(4) | | | Article 51(5) | Article 71(5) | | | Article 51(6) | Article 71(6) | | | Article 52(1) | Article 74(1) | | | Article 52(2) | Article 74(2) | | | Article 53(1) | Article 75(1) | | | Article 53(2) | Article 75(2) | | | Article 53(3) | Article 75(3) | | | Article 54(1) | Article 76(1) | | | Article 54(2) | Article 76(2) | | | Article 54(3) | Article 76(3) | | | Article 54(4) | Article 76(4) | | | Article 54(5) | Article 76(5) | | | Article 55(1) | Article 77(1) | | | Article 55(2) | Article 77(2) | | | Article 56(1) | Article 79(1) | | | Article 56(2) | Article 79(2) | | | Article 56(3) | Article 79(3) | | | Article 56(4) | Article 79(4) | | | Article 56(5) | Article 79(8) | | | Article 56(6) | Article 79(9) | | | Article 57(1) | Article 80(1) | | | Article 57(2) | Article 80(2) | | | Article 57(3) | Article 80(3) and (4) | | | Article 58(1) | Article 81(1) | | | Article 58(2) | Article 81(2) | | | Article 58(3) | Article 81(3) | | | Article 58(4) | Article 81(4) | | | Article 58(5) | Article 81(5) | | | Article 58a | Article 82 | | | Article 59 | Article 83 | | | Article 60(1) | Article 84(1) | | | Article 60(2) | Article 84(2) | | | Article 60(3) | Article 84(3) | | | Article 60(4) | Article 84(4) | | | Article 61(1) | Article 85(1) | | | Article 61(2) | Article 85(2) | | | Article 62(1) | Article 86(1) | | | Article 62(2) | Article 86(2) | | | Article 62(3) | Article 86(3) | | | Article 62(4) | Article 86(4) | | | Article 62a(1) | Article 87(1) | | | Article 62a(2) | Article 87(2) | | | Article 63(1) | Article 88(1) | | | Article 63(2) | Article 88(2) | | | Article 64 | — | — | | Article 64a | — | — | | Article 65 | — | — | | Article 66 | — | — | | Article 67 | — | — | | Article 68 | — | — | | Article 69 | — | — | | Article 70 | — | — | | Article 71 | — | — | | Article 72 | — | — | | Article 73 | — | — | | Annex I | Annex I | | | Annex II | Annex II | |