{"release":{"id":"a4f2a0495fe55b47323883f82977a9b34ab66171ec9623e39925d3a7045b6c81","published":"2026-11-01T16:41:30Z","pinned":false},"limits":{"coverage":{"history":"current_only","held_since":"2026-10-26","gaps":[],"covered":["2021/1254 — Delegated act — Correcting 2017/565 [in force] L2"],"not_covered":["national guidance","court 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Delegated Regulation (EU) 2021/1254 · binding · OJ L 277, 2.8.2021 · dated 21 Apr 2021 [in force]","attribution":{"prepared_by":"European Commission","published_by":"Publications Office of the EU","published_in":"Official Journal of the European Union","document_type":"delegated_regulation","legal_nature":"binding_adopted","addressees":"not stated in the document","dates":{"document_date":"2021-04-21","entry_into_force":"2021-08-22","locators":{"document_date":"CELLAR 32021R1254 work_date_document","entry_into_force":"CELLAR 32021R1254 resource_legal_date_entry-into-force (earliest)"}},"adoption":null},"context":{"act":{"work_id":"spaces/mifid-ii/level-2/delegated-acts/2021-1254-commission-delegated-regulation-eu-2021-1254-of-21-april","path":"/mifid-ii/level-2/delegated-acts/2021-1254-commission-delegated-regulation-eu-2021-1254-of-21-april","name":"Commission Delegated Regulation (EU) 2021/1254","number":"2021/1254","celex":"32021R1254","title_official":"COMMISSION DELEGATED REGULATION (EU) 2021/1254 of 21 April 2021 correcting Delegated Regulation (EU) 2017/565 supplementing Directive 2014/65/EU 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)","document_date":"2021-04-21"},"position":{"kind":"annex","key":"annex","index":1,"articles":2,"annexes":1},"prev":{"path":"/mifid-ii/level-2/delegated-acts/2021-1254-commission-delegated-regulation-eu-2021-1254-of-21-april/articles/2","key":"2","title":"Article 2"},"next":null,"act_anchor":"#annex"}},"provenance":{"official_url":"https://eur-lex.europa.eu/eli/reg_del/2021/1254/oj/eng","check":{"result":"matched","checked_at":"2026-10-26","against":"EUR-Lex"},"repo_path":"spaces/mifid-ii/level-2/delegated-acts/2021-1254-commission-delegated-regulation-eu-2021-1254-of-21-april.md","unit_text_sha256":"1f5516eaf243183b1c4a63914fab06cf464d7740ab8054900450a41ec46889dd","note":"the unit is a byte-exact part of the act page, whose check record covers it"},"unit":{"locator":"spaces/mifid-ii/level-2/delegated-acts/2021-1254-commission-delegated-regulation-eu-2021-1254-of-21-april/annex","kind":"annex","key":"annex","heading":"ANNEX","text":"## ANNEX\n\nANNEX\n‘ANNEX I\nRecord-keeping\nMinimum list of records to be kept by investment firms depending upon the nature of their activities\n\n<!-- lint: table-cell-ok — verbatim annex reporting-template grid from the source regulation -->\n| Nature of obligation | Type of record | Summary of content | Legislative reference |\n|---|---|---|---|\n| Client assessment |  |  |  |\n|  | Information to clients | Content as provided for under Article 24(4) of Directive 2014/65/EU and Articles 44 to 51 of this Regulation | Article 24(4) of Directive 2014/65/EU Articles 44 to 51 of this Regulation |\n|  | Client agreements | Records as provided for under Article 25(5) of Directive 2014/65/EU | Article 25(5) Directive 2014/65/EU Article 58 of this Regulation |\n|  | Assessment of suitability and appropriateness | Content as provided for under paragraphs 2 and 3 of Article 25 of Directive 2014/65/EU and Articles 54, 55 and 60 of this Regulation | Article 25(2) and (3) of Directive 2014/65/EU Articles 54, 55 and 56 of this Regulation |\n| Order handling |  |  |  |\n|  | Client order-handling – Aggregated transactions | Records as provided for under Articles 67 to 70 of this Regulation | Articles 24(1) and 28(1) of Directive 2014/65/EU Articles 67 to 70 of this Regulation |\n|  | Aggregation and allocation of trans-actions for own account | Records as provided for under Article 69 of this Regulation | Articles 24(1) and 28(1) of Directive 2014/65/EU Article 69 of this Regulation |\n| Client Orders and transactions |  |  |  |\n|  | Record keeping of client orders or decision to deal | Records as provided for under Article 74 of this Regulation | Article 16(6) of Directive 2014/65/EU Article 74 of this Regulation |\n|  | Record keeping of transactions and order processing | Records as provided for under Article 75 of this Regulation | Article 16(6) of Directive 2014/65/EU Article 75 of this Regulation |\n| Reporting to clients |  |  |  |\n|  | Obligation in respect of services provided to clients | Contents as provided for under Articles 59 to 63 of this Regulation | Paragraphs 1 and 6 of Article 24 and paragraphs 1 and 6 of Article 25 of Directive 2014/65/EU Articles 59 to 63 of this Regulation |\n| Safeguarding of client assets |  |  |  |\n|  | Client financial instruments held by an investment firm | Records as provided for under Article 16(8) of Directive 2014/65/EU and under Article 2 of Commission Delegated Directive (EU) 2017/593 | Article 16(8) of Directive 2014/65/EU Article 2 of Delegated Directive (EU) 2017/593 |\n|  | Client funds held by an investment firm | Records as provided for under Article 16(9) of Directive 2014/65/EU and under Article 2 of Delegated Directive (EU) 2017/593 | Article 16(9) of Directive 2014/65/EU Article 2 of Delegated Directive (EU) 2017/593 |\n|  | Use of client financial instruments | Records provided for under Article 5 of Delegated Directive (EU) 2017/593 | Paragraphs 8, 9 and 10 of Article 16 of Directive 2014/65/EU Article 5 of Delegated Directive (EU) 2017/593 |\n| Communication with clients |  |  |  |\n|  | Information about Costs and associated charges | Contents as provided for under Article 50 of this Regulation | Article 24(4), point (c) of Directive 2014/65/EU Article 50 of this Regulation |\n|  | Information about the investment firm and its services, financial instruments and safe-guarding of client assets | Content as provided for under Articles 47, 48 and 49 of this Regulation | Article 24(4) of Directive 2014/65/EU Articles 47, 48 and 49 of this Regulation |\n|  | Information to clients | Records of communication | Article 24(3) of Directive 2014/65/EU Article 46 of this Regulation |\n|  | Marketing communications (except in oral form) | Each marketing communication issued by the investment firm (except in oral form) as provided under Articles 44 and 46 of this Regulation | Article 24(3) of Directive 2014/65/EU Articles 44 and 46 of this Regulation |\n|  | Investment advice to retail clients | (i) The fact, time and date that investment advice was rendered and (ii) the financial instrument that was recommended (iii) the suitability report provided to the client | Article 25(6) of Directive 2014/65/EU Article 54 of this Regulation |\n|  | Investment research | Each item of investment research issued by the investment firm in a durable medium | Article 24(3) of Directive 2014/65/EU Articles 36 and 37 of this Regulation |\n| Organisational requirements |  |  |  |\n|  | The firm’s business and internal organisation | Records as provided for under Article 21(1), point (f) of this Regulation | Paragraphs 2 to 10 of Article 16 of Directive 2014/65/EU Article 21(1), point (f) of this Regulation |\n|  | Compliance reports | Each compliance report to management body | Article 16(2) of Directive 2014/65/EU Article 22(2), point (c) and Article 25(2) of this Regulation |\n|  | Conflict of Interest record | Records as provided for under Article 35 of this Regulation | Article 16(3) of Directive 2014/65/EU Article 35 of this Regulation |\n|  | Inducements | The information disclosed to clients under Article 24(9) of Directive 2014/65/EU | Article 24(9) of Directive 2014/65/EU Article 11, 12 and 13 of Delegated Directive (EU) 2017/593 |\n|  | Risk management reports | Each risk management report to senior management | Article 16(5) of Directive 2014/65/EU Article 23(1), point (b) and Article 25(2) of this Regulation |\n|  | Internal audit reports | Each internal audit report to senior management | Article 16(5) of Directive 2014/65/EU Article 24 and Article 25(2) of this Regulation |\n|  | Complaints-handling records | Each complaint and the complaint handling measures taken to address the complaint | Article 16(2) of Directive 2014/65/EU Article 26 of this Regulation |\n|  | Records of personal transactions | Records as provided for under Article 29(5), point (c) of this Regulation | Article 16(2) of Directive 2014/65/EU Article 29(5), point (c) of this Regulation’ |\n\n","marks":[],"text_hash":"1f5516eaf243183b1c4a63914fab06cf464d7740ab8054900450a41ec46889dd","revision":1}}