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MiFID II Delegated Regulation on Sustainability Preferences
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Title (English)
Title (German)
Kind
Approval
Due Diligence
Governance
Other
Record Keeping
Reporting
Stakeholder Engagement
Frequency
Annual
Biennial
Continuous
Event-triggered
Monthly
One-time
Other
Quarterly
Weekly
Check frequency
Annual
Biennial
Continuous
Event-triggered
Monthly
One-time
Other
Quarterly
Weekly
Rule set
Regulation-wide (no rule set)
Investment firms
Complexity (0–5)
Business functions
Communications
Compliance
Executive
Finance
Human Resources
Legal
Operations
Other
Procurement
Product
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Sustainability
Description (English)
Establish, implement and maintain adequate risk-management policies and procedures that identify risks relating to the firm's activities, processes and systems and, where appropriate, set the firm's tolerated risk level, taking sustainability risks into account.
Description (German)
Angemessene Risikomanagementrichtlinien und -verfahren festlegen, umsetzen und aufrechterhalten, die die mit den Tätigkeiten, Prozessen und Systemen der Firma verbundenen Risiken identifizieren und gegebenenfalls das von der Firma tolerierte Risikoniveau festlegen; dabei Nachhaltigkeitsrisiken berücksichtigen.
Affected products/services (English)
Activities, processes and systems of the investment firm
Affected products/services (German)
Tätigkeiten, Prozesse und Systeme der Wertpapierfirma
Checking responsibility (English)
Investment firm
Checking responsibility (German)
Wertpapierfirma
Check method (English)
Review of risk-management policies and procedures for identification of sustainability risks
Check method (German)
Prüfung der Risikomanagementrichtlinien und -verfahren auf die Identifizierung von Nachhaltigkeitsrisiken
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