Rulestack

EU · MiFID II · TITLE VI COMPETENT AUTHORITIES · CHAPTER I Designation, powers and redress procedures

Article 73 MiFID IIReporting of infringements

In force
Read the official text on EUR-Lex(opens in a new tab)
AI-generated What this provision does

Whistleblowing: competent authorities must have effective mechanisms for reporting actual or potential breaches of MiFID II and MiFIR, with secure channels, protection against retaliation and confidentiality of both reporter and accused, and investment firms, market operators, derogated APAs and ARMs, credit institutions and third-country branches must have independent internal reporting channels for staff.

Amendments and application dates

Amending actChangeApplies from
Directive (EU) 2021/338Text amendedby 28 Feb 2022

Commentary

No law-firm commentary is linked to this provision yet.

393 more documents relate to MiFID II as a whole without naming an article.

UK counterpart

  • SYSC 18.6.1R · Whistleblowing obligations under the MiFID regime
    SYSC Senior Management Arrangements, Systems and Controls · in force from 1 Jan 2021
    DivergedExplicit reference · 90%

    EU changes after exit: Directive (EU) 2021/338 (by 28 Feb 2022).

FCA Handbook references © FCA, used under the Open Government Licence v3.0. Rulestack is independent and not endorsed by the FCA.

Version history

  1. From 28 Feb 2022
  2. From 17 Sept 2014 to 28 Feb 2022

Each entry is a consolidated version of the act on EUR-Lex in which this provision appears. The text itself is on the official site.