Chwilio Deddfwriaeth

Chwiliad Uwch

Regulation (EU) No 909/2014 of the European Parliament and of the CouncilDangos y teitl llawn

Regulation (EU) No 909/2014 of the European Parliament and of the Council of 23 July 2014 on improving securities settlement in the European Union and on central securities depositories and amending Directives 98/26/EC and 2014/65/EU and Regulation (EU) No 236/2012 (Text with EEA relevance)

Help about what version

Pa Fersiwn

Help about UK-EU Regulation

Legislation originating from the EU

When the UK left the EU, legislation.gov.uk published EU legislation that had been published by the EU up to IP completion day (31 December 2020 11.00 p.m.). On legislation.gov.uk, these items of legislation are kept up-to-date with any amendments made by the UK since then.

Close

Mae hon yn eitem o ddeddfwriaeth sy’n deillio o’r UE

Mae unrhyw newidiadau sydd wedi cael eu gwneud yn barod gan y tîm yn ymddangos yn y cynnwys a chyfeirir atynt gydag anodiadau.Ar ôl y diwrnod ymadael bydd tair fersiwn o’r ddeddfwriaeth yma i’w gwirio at ddibenion gwahanol. Y fersiwn legislation.gov.uk yw’r fersiwn sy’n weithredol yn y Deyrnas Unedig. Y Fersiwn UE sydd ar EUR-lex ar hyn o bryd yw’r fersiwn sy’n weithredol yn yr UE h.y. efallai y bydd arnoch angen y fersiwn hon os byddwch yn gweithredu busnes yn yr UE. EUR-Lex Y fersiwn yn yr archif ar y we yw’r fersiwn swyddogol o’r ddeddfwriaeth fel yr oedd ar y diwrnod ymadael cyn cael ei chyhoeddi ar legislation.gov.uk ac unrhyw newidiadau ac effeithiau a weithredwyd yn y Deyrnas Unedig wedyn. Mae’r archif ar y we hefyd yn cynnwys cyfraith achos a ffurfiau mewn ieithoedd eraill o EUR-Lex. The EU Exit Web Archive legislation_originated_from_EU_p3

Status:

EU_status_warning_original_version
This legislation may since have been updated - see the latest available (revised) version

  1. Introductory Text

  2. TITLE I SUBJECT MATTER, SCOPE AND DEFINITIONS

    1. Article 1.Subject matter and scope

    2. Article 2.Definitions

  3. TITLE II SECURITIES SETTLEMENT

    1. CHAPTER I Book-entry form

      1. Article 3.Book-entry form

      2. Article 4.Enforcement

    2. CHAPTER II Settlement periods

      1. Article 5.Intended settlement date

    3. CHAPTER III Settlement discipline

      1. Article 6.Measures to prevent settlement fails

      2. Article 7.Measures to address settlement fails

      3. Article 8.Enforcement

    4. CHAPTER IV Internalised settlement

      1. Article 9.Settlement internalisers

  4. TITLE III CENTRAL SECURITIES DEPOSITORIES

    1. CHAPTER I Authorisation and supervision of CSDs

      1. Section 1 Authorities responsible for authorisation and supervision of CSDs

        1. Article 10.Competent authority

        2. Article 11.Designation of the competent authority

        3. Article 12.Relevant authorities

        4. Article 13.Exchange of information

        5. Article 14.Cooperation between authorities

        6. Article 15.Emergency situations

      2. Section 2 Conditions and procedures for authorisation of CSDs

        1. Article 16.Authorisation of a CSD

        2. Article 17.Procedure for granting authorisation

        3. Article 18.Effects of the authorisation

        4. Article 19.Extension and outsourcing of activities and services

        5. Article 20.Withdrawal of authorisation

        6. Article 21.CSD register

      3. Section 3 Supervision of CSDs

        1. Article 22.Review and evaluation

      4. Section 4 Provision of services in another member state

        1. Article 23.Freedom to provide services in another Member State

        2. Article 24.Cooperation between authorities of the home Member State and of the host Member State and peer review

      5. Section 5 Relations with third countries

        1. Article 25.Third countries

    2. CHAPTER II Requirements for CSDs

      1. Section 1 Organisational requirements

        1. Article 26.General provisions

        2. Article 27.Senior management, management body and shareholders

        3. Article 28.User committee

        4. Article 29.Record keeping

        5. Article 30.Outsourcing

        6. Article 31.Services provided by parties other than CSDs

      2. Section 2 Conduct of business rules

        1. Article 32.General provisions

        2. Article 33.Requirements for participation

        3. Article 34.Transparency

        4. Article 35.Communication procedures with participants and other market infrastructures

      3. Section 3 Requirements for CSD services

        1. Article 36.General provisions

        2. Article 37.Integrity of the issue

        3. Article 38.Protection of securities of participants and those of their clients

        4. Article 39.Settlement finality

        5. Article 40.Cash settlement

        6. Article 41.Participant default rules and procedures

      4. Section 4 Prudential requirements

        1. Article 42.General requirements

        2. Article 43.Legal risks

        3. Article 44.General business risk

        4. Article 45.Operational risks

        5. Article 46.Investment policy

        6. Article 47.Capital requirements

      5. Section 5 Requirements for CSD links

        1. Article 48.CSD links

    3. CHAPTER III Access to CSDs

      1. Section 1 Access of issuers to CSDs

        1. Article 49.Freedom to issue in a CSD authorised in the Union

      2. Section 2 Access between CSDs

        1. Article 50.Standard link access

        2. Article 51.Customised link access

        3. Article 52.Procedure for CSD links

      3. Section 3 Access between a CSD and another market infrastructure

        1. Article 53.Access between a CSD and another market infrastructure

  5. TITLE IV PROVISION OF BANKING-TYPE ANCILLARY SERVICES FOR CSD PARTICIPANTS

    1. Article 54.Authorisation and designation to provide banking-type ancillary services

    2. Article 55.Procedure for granting and refusing authorisation to provide banking-type ancillary services

    3. Article 56.Extension of the banking-type ancillary services

    4. Article 57.Withdrawal of authorisation

    5. Article 58.CSD register

    6. Article 59.Prudential requirements applicable to credit institutions or CSDs authorised to provide banking-type ancillary services

    7. Article 60.Supervision of designated credit institutions and CSDs authorised to provide banking-type ancillary services

  6. TITLE V SANCTIONS

    1. Article 61.Administrative sanctions and other measures

    2. Article 62.Publication of decisions

    3. Article 63.Sanctions for infringements

    4. Article 64.Effective application of sanctions

    5. Article 65.Reporting of infringements

    6. Article 66.Right of appeal

  7. TITLE VI DELEGATION OF POWER, IMPLEMENTING POWERS, TRANSITIONAL, AMENDING AND FINAL PROVISIONS

    1. Article 67.Exercise of the delegation

    2. Article 68.Committee procedure

    3. Article 69.Transitional provisions

    4. Article 70.Amendments to Directive 98/26/EC

    5. Article 71.Amendments to Directive 2014/65/EU

    6. Article 72.Amendment to Regulation (EU) No 236/2012

    7. Article 73.Application of Directive 2014/65/EU and Regulation (EU) No 600/2014

    8. Article 74.Reports

    9. Article 75.Review

    10. Article 76.Entry into force and application

  8. Signature

    1. ANNEX

      LIST OF SERVICES

      1. SECTION A Core services of central securities depositories

        1. 1. Initial recording of securities in a book-entry system (‘notary service’);...

        2. 2. Providing and maintaining securities accounts at the top tier level...

        3. 3. Operating a securities settlement system (‘settlement service’).

      2. SECTION B Non-banking-type ancillary services of CSDs that do not entail credit or liquidity risks

      3. SECTION C Banking-type ancillary services

Yn ôl i’r brig

Options/Help

Print Options

Close

Mae deddfwriaeth ar gael mewn fersiynau gwahanol:

Y Diweddaraf sydd Ar Gael (diwygiedig):Y fersiwn ddiweddaraf sydd ar gael o’r ddeddfwriaeth yn cynnwys newidiadau a wnaed gan ddeddfwriaeth ddilynol ac wedi eu gweithredu gan ein tîm golygyddol. Gellir gweld y newidiadau nad ydym wedi eu gweithredu i’r testun eto yn yr ardal ‘Newidiadau i Ddeddfwriaeth’.

Gwreiddiol (Fel y’i mabwysiadwyd gan yr UE): Mae'r wreiddiol version of the legislation as it stood when it was first adopted in the EU. No changes have been applied to the text.

Close

Dewisiadau Agor

Dewisiadau gwahanol i agor deddfwriaeth er mwyn gweld rhagor o gynnwys ar y sgrin ar yr un pryd

Close

Rhagor o Adnoddau

Gallwch wneud defnydd o ddogfennau atodol hanfodol a gwybodaeth ar gyfer yr eitem ddeddfwriaeth o’r tab hwn. Yn ddibynnol ar yr eitem ddeddfwriaeth sydd i’w gweld, gallai hyn gynnwys:

  • y PDF print gwreiddiol y fel adopted version that was used for the EU Official Journal
  • rhestr o newidiadau a wnaed gan a/neu yn effeithio ar yr eitem hon o ddeddfwriaeth
  • pob fformat o’r holl ddogfennau cysylltiedig
  • slipiau cywiro
  • dolenni i ddeddfwriaeth gysylltiedig ac adnoddau gwybodaeth eraill
Close

Rhagor o Adnoddau

Defnyddiwch y ddewislen hon i agor dogfennau hanfodol sy’n cyd-fynd â’r ddeddfwriaeth a gwybodaeth am yr eitem hon o ddeddfwriaeth. Gan ddibynnu ar yr eitem o ddeddfwriaeth sy’n cael ei gweld gall hyn gynnwys:

  • y PDF print gwreiddiol y fel adopted fersiwn a ddefnyddiwyd am y copi print
  • slipiau cywiro

liciwch ‘Gweld Mwy’ neu ddewis ‘Rhagor o Adnoddau’ am wybodaeth ychwanegol gan gynnwys

  • rhestr o newidiadau a wnaed gan a/neu yn effeithio ar yr eitem hon o ddeddfwriaeth
  • manylion rhoi grym a newid cyffredinol
  • pob fformat o’r holl ddogfennau cysylltiedig
  • dolenni i ddeddfwriaeth gysylltiedig ac adnoddau gwybodaeth eraill