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Delegated Regulation (EU) 2017/1943 · binding · OJ L 276, 26.10.2017 · dated 14 Jul 2016 [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":"2016-07-14","entry_into_force":"2017-11-15","locators":{"document_date":"CELLAR 32017R1943 work_date_document","entry_into_force":"CELLAR 32017R1943 resource_legal_date_entry-into-force (earliest)"}},"adoption":null},"context":{"act":{"work_id":"spaces/mifid-ii/level-2/rts/2017-1943-information-and-requirements-for-the-authorisation-of","path":"/mifid-ii/level-2/rts/2017-1943-information-and-requirements-for-the-authorisation-of","name":"Commission Delegated Regulation (EU) 2017/1943","number":"2017/1943","celex":"32017R1943","title_official":"COMMISSION DELEGATED REGULATION (EU) 2017/1943 of 14 July 2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards on information and requirements for the authorisation of investment firms (Text with EEA relevance)","document_date":"2016-07-14"},"position":{"kind":"article","key":"9","index":9,"articles":11,"annexes":0},"prev":{"path":"/mifid-ii/level-2/rts/2017-1943-information-and-requirements-for-the-authorisation-of/articles/8","key":"8","title":"Article 8 — Requirements applicable to the management of investment firms that are natural persons or investment firms that are legal persons managed by a single natural person"},"next":{"path":"/mifid-ii/level-2/rts/2017-1943-information-and-requirements-for-the-authorisation-of/articles/10","key":"10","title":"Article 10 — Effective exercise of supervisory 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2014/65/EU, offers sufficient guarantees for a sound and prudent management of the entity by assessing the suitability of proposed shareholders and members with qualifying holdings, having regard to the likely influence on the investment firm of each proposed shareholder or member with qualifying holdings, against all of the following criteria:\\\n   <a id=\"art-9-p-a\"></a>a) the reputation and experience of any person who will direct the business of the investment firm;\\\n   <a id=\"art-9-p-b\"></a>b) the reputation of the proposed shareholders and members with qualifying holdings;\\\n   <a id=\"art-9-p-c\"></a>c) the financial soundness of the proposed shareholders and members with qualifying holding, in particular in relation to the type of business pursued and envisaged in the investment firm;\\\n   <a id=\"art-9-p-d\"></a>d) whether the investment firm will be able to comply and continue to comply with the prudential requirements set out in Article 15 of Directive 2014/65/EU and, where applicable, Directives 2002/87/EC and 2013/36/EU of the European Parliament and of the Council and in particular, whether the group of which it will become a part has a structure that makes it possible to exercise effective supervision, effectively exchange information among the competent authorities and determine the allocation of responsibilities among the competent authorities;\\\n   <a id=\"art-9-p-e\"></a>e) whether there are reasonable grounds to suspect that, in connection with the authorisation of the investment firm, money laundering or terrorist financing within the meaning of Article 1 of Directive 2005/60/EC of the European Parliament and of the Council is being or has been committed or attempted, or that the authorisation of the investment firm could increase the risk thereof.\n\n","marks":[],"text_hash":"009a3de3dbbb3bb5ea452b7ff1d4e3864d94aee93cb28e6d1f76a99d8a4a19a1","revision":1}}