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MIFID

La Directive MID2 et son règlement d’application direct MiFIR sont entrés en application le 3 janvier 2018.

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Version Française

La Directive MID2 et son règlement d’application direct MiFIR sont entrés en application le 3 janvier 2018.

Ces textes ont pour principal objectif de renforcer la transparence, de libéraliser les services d'investissement et la commercialisation des instruments financiers dans les états européens tout en augmentant la protection des investisseurs. Le nouveau dispositif a induit des changements et modifié les pratiques de nos métiers, notamment en ce qui concerne l'exécution des ordres, la relation client en termes de protection et d'information, une plus grande transparence, la traçabilité des opérations et leur reporting réglementaire.

La Directive MIF impose aux prestataires de services d'investissement (PSI) la classification de leurs clients en qualité de client non professionnel, de client professionnel ou de contrepartie éligible en les informant de cette classification. Tout client peut nous demander un changement de classification et il sera, dans ce cas informé, des conséquences qui en résulteraient au niveau du degré de protection.

Aurel BGC a décidé de n'offrir ses services qu'à des « clients professionnels » ou des contreparties éligibles, tout en gardant à l'esprit l'objectif de vous offrir un niveau de protection élevé, notamment au regard de l'application des règles de « meilleure exécution »

Nous souhaitons vous assurer de la mise en œuvre de l'exécution des procédures et dispositifs nécessaires au respect de la nouvelle réglementation en privilégiant la qualité des services que nous vous proposons et la défense de vos intérêts.

Politique d'exécution d'Aurel BGC : ci-joint.

Fixed Income Margin fees grid : ci-joint.

Best Execution Reports (RTS 27): ci-joint

Pre/Post-Trade Transparency reporting (RTS 1 and 2) : ci-joint

Politique des données de marché MiFID2 sur une base gratuite : ci-joint.

Aurel BGC OTF disclosure 2022-2021-2020: ci-joint.

Définition de la notion de conflit d'intérêts : situation dans laquelle un salarié d'Aurel BGC ou Aurel BGC a un intérêt d'ordre matériel, professionnel, commercial, financier ou personnel qui vient concurrencer l'intérêt d'un (des) client(s), lequel doit primer sur tout autre.

Aurel BGC a pris toutes les mesures appropriées pour prévenir les conflits d'intérêts en mettant en place des procédures spécifiques de prévention et de gestion des conflits d'intérêts afin de ne pas porter atteinte aux intérêts de ses clients.

L'information détaillée sur la politique de gestion des conflits d'intérêts mise en place chez Aurel BGC: ci-joint.

Aurel BGC OTF  : Aurel BGC a reçu de l’ACPR l’agrément d’opérateur d’OTF.

- Operating MIC : AURB

- Segment MIC : AURO

Le Rule Book de l’OTF Aurel BGC : ci-joint.

Les Produits par Classe d'Actifs de l’OTF Aurel BGC : ci-joint.

Les Rate cards de l’OTF Aurel BGC :

Réclamations des clients : Conformément à la directive MIF2, Aurel BGC a mis en œuvre une politique de gestion des réclamations des clients :  ci-joint.

Pour toute réclamation, merci de contacter : compliance-paris@aurel-bgc.com..

Registre des avantages non-monétaires mineurs : ci-joint.

Aurel BGC OTF - Trading Venue Notices

Les articles 32 et 52 de MiFID II établissent des obligations pour les Autorités Nationales Compétentes et les systèmes de négociation concernant la suspension et le retrait (annulation) de la négociation de certains instruments financiers (et toute restauration ultérieure).

Liste des instruments financiers et tous dérivés/autres instruments associés soit SUSPENDUS / RESTAURÉS / RETIRÉS par les Autorités Nationales Compétentes : Ci-joint

Les informations publiques relatives à toute suspension ou retrait d’instruments financiers sont disponibles sur le site de l' ESMA

Sanctions :

Les instruments financiers émis par des entités soumises à des sanctions en raison du conflit ukrainien ne sont pas admis à la négociation sur Aurel BGC OTF.

Pour plus d'informations, veuillez contacter : compliance-paris@aurel-bgc.com..

Instrument Identifier Full name of suspended instruments
US67011E2046 NOVOLIPETSKIY METALLURG.KOMB. REG.SHS GDR 10 RL
US6698881090 NOVATEK REG.SHS GDR 10/RL 0,1
US98387E2054 X 5 RETAIL GROUP N.V. REG.SHS GDR 1/4/EO 1
US67812M2070 ROSNEFT OIL COMPANY REF.SHS GDR 1RL-,01
US55315J1025 MMC NORILSK NICKEL PJSC REG.SHS ADR 1/10/RL 1
US8688612048 SURGUTNEFTEGAZ REG.SHS ADR 10 RL 1
US3682872078 GAZPROM SPONSERED AMERICAN DEPOSIT RECEIPT REPR 2
US8766292051 TATNEFT PJSC REG.SHS ADR 6 DL 1
NO0003070609 IDEX BIOMETRICS
US80585Y3080 SBERBANK OF RUSSIA PJSC REG.SHS ADR 4 RL 3
US71922G2093 PHOSAGRO PJSC REG.SHS GDR 1/3
US55953Q2021 MAGNIT PJSC REG.SHS GDR 1/5/RL
US69343P1057 LUKOIL PJSC REG.SHS ADR 1
AT0000A16EB1 RCB OE TrackX2 l Gazprom
AT0000A16EC9 RCB OE TrackX3 l Gazprom
AT0000A16EL0 RCB OE TrackX3 s Gazprom
AT0000A29AZ1 RCB OETrack X2 s Gazprom
AT0000A29B07 RCB OETrack X3 s Gazprom
AT0000A125R1 RCB OE TL.Z./Norilsk Nickel
AT0000A16EG0 RCB OE TrackX3 l Norilsk Nick
AT0000A16EP1 RCB OE TrackX2 s Norilsk Nick
AT0000A1ZTG2 RCB OETrackX3 l Magnit
AT0000A1ZTH0 RCB OETrackX2 s Magnit
AT0000A16EM8 RCB OE TrackX2 s Lukoil
XS2123064102 AFR DEV BANK 5.15% 20FB23
XS2432520166 ADB TF 8% GE24 RUB
XS1960365390 ADB TF 7% MZ22 RUB
XS2337791482 ADB TF 5% MG26 RUB
XS2112229211 WORLD BANK TF 5% LG22 RUB
XS2393509414 WORLD BANK GREEN BOND TF 5,25% OT26 RUB
XS2339217775 WORLD BANK ZC MG31 RUB
XS2189921294 WORLD BANK GREEN BOND TF 4% LG25 RUB
XS1349367547 EBRD ZC GE26 RUB
XS2288097137 WORLD BANK GREEN TF 4,25% GE26 RUB
XS2109379607 WORLD BANK SUSTAINABLE TF 5% GE25 RUB
XS2431024996 WORLD BANK GREEN BOND TF 6,75% GE27 RUB
XS1596058419 IFC TF 6,375% AP22 RUB
XS1793259265 IFC TF 5,5% MZ23 RUB
XS1796077789 IFC TF 5,25% MZ22 RUB
XS1945291398 IFC TF 6,5% FB26 RUB
XS2004425471 WORLD BANK SUSTAINABLE TF 6,14% GN22 RUB
XS1951318051 WORLD BANK SUSTAINABLE TF 6,75% NV22 RUB
XS2075938188 EBRD TF 5% NV24 RUB
XS2228199209 IFC ZC ST30 RUB
XS1555164299 EBRD TF 6% LG23 RUB
XS2302931394 IFC SOCIAL BOND TF 4,5% FB26 RUB
XS2406011507 IFC SOCIAL BOND TF 7,25% NV24 RUB
XS2205081297 EIB TF 3,75% LG24 RUB
XS2322452710 INTSANPAOLO TF 5,75% MZ23 RUB
AT0000A16EN6 RCB OE TrackX3 s Lukoil
AT0000A1TLX7 RCB OE TL.Z./Norilsk Nickel
AT0000A16EJ4 RCB OE TrackX3 l Novatek
XS0223715920 VTB 6 1/4 06/30/35 BOND
XS0842078536 VTB 6.95 10/17/22 BOND
XS2243636219 GAZPRU 3.897 PERP BOND
XS2363250833 GAZPRU 3 1/2 07/14/31
XS2291819980 GAZPRU 2.95 01/27/29
CH0374882816 GAZPRU 2 1/4 07/19/22 BOND
CH0404311711 GAZPRU 1.45 03/06/23
XS0191754729 GAZPRU 8 5/8 04/28/34 BOND
XS0885736925 GAZPRU 4.95 02/06/28 BOND
XS1585190389 GAZPRU 4.95 03/23/27 BOND
XS0805570354 GAZPRU 4.95 07/19/22 BOND
XS0906949523 GAZPRU 4.364 03/21/25 BOND
XS1911645049 GAZPRU 2.949 01/24/24 BOND
XS1795409082 GAZPRU 2 1/2 03/21/26 BOND
XS1721463500 GAZPRU 2 1/4 11/22/24 BOND
XS2196334671 GAZPRU 3 06/29/27 BOND
XS2301292400 GAZPRU 1 1/2 02/17/27 BOND
CH1120085688 GAZPRU 1.54 06/30/27 BOND
XS2157526315 GAZPRU 2.95 04/15/25 BOND
XS2243631095 GAZPRU 4.5985 PERP BOND
XS2408033210 GAZPRU 1.85 11/17/28 BOND
RU000A1034K8 RUSSIA 2.65 05/27/36 BOND
XS0993162683 VEBBNK 5.942 11/21/23 BOND
XS1760804184 BELRUS 6.2 02/28/30 BOND
XS1843443273 EVRAZ 5 1/4 04/02/24 BOND
XS2249778247 GTLKOA 4.8 02/26/28 BOND
XS52325559396 SCFRU 3.85 04/26/28 BOND
XS1433454243 $ SCF CAPITAL 23
XS2010044381 $ GTLK EUROPE CAPITAL 26
XS2131995958 $ GTLK EUROPE CAPITAL 27
XS1713473608 $ GTLK EUROPE CAPITAL 25
XS169135045 HYDRRM 8 1/8 09/28/22 SFPS
XS2082937967 HYDRRM 6.8 11/25/24 SFPS
XS0979891925 RSHB 8 1/2 10/16/23 BOND
XS0316524130 GAZPRU 7.288 08/16/37 SFPS
XS2124187571 GAZPRU 3 1/4 02/25/30 SFPS
XS1843437036 RURAIL 2.2 05/23/27 SFPS
XS0848530977 SBERRU 5 1/8 10/29/22 SFPS
XS0805131439 AKBARS 8 07/13/22 SFPS
XS2099763075 CRBKMO 4.7 01/29/25 SFPS
XS1601094755 CRBKMO 8 7/8 PERP BOND
XS1951067039 CRBKMO 5.15 02/20/24 SFPS

 

Conditions générales de fourniture de services d’investissement : ci-joint.

 

 

 

ENGLISH VERSION

The Directive MiFID II and its direct application Rule MiFIR came into force on January 3rd 2018.

Their main objective is to reinforce transparency, liberalize the investment services and marketing of financial instruments in European countries and strengthen investor protection. The new system leads to changes and modifies practices in our professions, particularly with regard to executing orders and client relations, in terms of protection and information, greater transparency, traceability of operations and their regulatory reporting.

The 'MiFID' Directive requires that investment service providers (ISP) classify their clients as a retail client, a professional client or an eligible counterparty by informing them of this classification. Every client can request a change in classification and, in this case, they will be informed of the consequences for the resulting degree of protection.

Aurel BGC has decided to offer investment services only to professional clients or eligible counterparties keeping in mind to offer you a higher level of protection, particularly with regard to the application of the 'better execution'.

We would like to assure you that the procedures and systems required for compliance with the new regulations will be implemented, giving priority to the quality of the services we offer you and to defending your interests.

Aurel BGC's Execution Policy: attached.

Fixed Income Margin fees grid : attached.

Best Execution Reports (RTS 27): ci-joint

Pre/Post-Trade Transparency reporting (RTS 1 and 2) : attached

MiFID2 Market Data policy on a free of charge basis : attached

Aurel BGC OTF disclosure 2022-2021-2020: attached

 

Definition of the concept of conflict of interest: situation in which an employee of Aurel BGC or Aurel BGC itself has a material, professional, commercial, financial or personal interest which competes with the a client's, or clients', interest, which must take precedent over any other.

Aurel BGC has taken all appropriate steps to avoid conflicts of interest by setting up specific procedures for preventing and managing conflicts of interest so that its clients' interests are not adversely affected.

Detailed information on the policy on managing conflicts of interest: can be provided on request to the Compliance department: attached.

Aurel BGC OTF: Aurel BGC has been authorised by the ACPR to operate an OTF.

- Operating MIC : AURB

- Segment MIC : AURO

The Rule book of the Aurel BGC OTF: attached.

The Aurel BGC OTF Products by Asset Class: attached.

The Rate cards of the Aurel BGC OTF:

Client complaints: In compliance with MiFID II, Aurel BGC has implemented a Client Complaints Handling Policyattached.

For any complaint please contact :compliance-paris@aurel-bgc.com..

Minor non-monetary benefits register: attached.

Aurel BGC OTF - Trading Venue Notices

Articles 32 and 52 of MiFID II establish obligations on National Competent Authorities and trading venues relating to the suspension and removal (cancellation) of certain financial instruments from trading (and any subsequent restoration).

List of current financial instruments and any associated derivatives/other instrumentsSUSPENDED /RESTORED/ REMOVED by the National Competent Authorities: Attached

Liste des instruments financiers et tous dérivés/autres instruments associés soit SUSPENDUS / RESTAURÉS / RETIRÉS par les Autorités Nationales Compétentes: Ci-joint

Public information on any suspension or withdrawal of financial instruments is available on the ESMA website

Sanctions:

Any financial instruments issued by entities that are subject to sanctions imposed due to the Ukrainian conflict are not being admitted to trading on Aurel BGC OTF.

For further information, please contact: compliance-paris@aurel-bgc.com..

Instrument Identifier Full name of suspended instruments
US67011E2046 NOVOLIPETSKIY METALLURG.KOMB. REG.SHS GDR 10 RL
US6698881090 NOVATEK REG.SHS GDR 10/RL 0,1
US98387E2054 X 5 RETAIL GROUP N.V. REG.SHS GDR 1/4/EO 1
US67812M2070 ROSNEFT OIL COMPANY REF.SHS GDR 1RL-,01
US55315J1025 MMC NORILSK NICKEL PJSC REG.SHS ADR 1/10/RL 1
US8688612048 SURGUTNEFTEGAZ REG.SHS ADR 10 RL 1
US3682872078 GAZPROM SPONSERED AMERICAN DEPOSIT RECEIPT REPR 2
US8766292051 TATNEFT PJSC REG.SHS ADR 6 DL 1
NO0003070609 IDEX BIOMETRICS
US80585Y3080 SBERBANK OF RUSSIA PJSC REG.SHS ADR 4 RL 3
US71922G2093 PHOSAGRO PJSC REG.SHS GDR 1/3
US55953Q2021 MAGNIT PJSC REG.SHS GDR 1/5/RL
US69343P1057 LUKOIL PJSC REG.SHS ADR 1
AT0000A16EB1 RCB OE TrackX2 l Gazprom
AT0000A16EC9 RCB OE TrackX3 l Gazprom
AT0000A16EL0 RCB OE TrackX3 s Gazprom
AT0000A29AZ1 RCB OETrack X2 s Gazprom
AT0000A29B07 RCB OETrack X3 s Gazprom
AT0000A125R1 RCB OE TL.Z./Norilsk Nickel
AT0000A16EG0 RCB OE TrackX3 l Norilsk Nick
AT0000A16EP1 RCB OE TrackX2 s Norilsk Nick
AT0000A1ZTG2 RCB OETrackX3 l Magnit
AT0000A1ZTH0 RCB OETrackX2 s Magnit
AT0000A16EM8 RCB OE TrackX2 s Lukoil
XS2123064102 AFR DEV BANK 5.15% 20FB23
XS2432520166 ADB TF 8% GE24 RUB
XS1960365390 ADB TF 7% MZ22 RUB
XS2337791482 ADB TF 5% MG26 RUB
XS2112229211 WORLD BANK TF 5% LG22 RUB
XS2393509414 WORLD BANK GREEN BOND TF 5,25% OT26 RUB
XS2339217775 WORLD BANK ZC MG31 RUB
XS2189921294 WORLD BANK GREEN BOND TF 4% LG25 RUB
XS1349367547 EBRD ZC GE26 RUB
XS2288097137 WORLD BANK GREEN TF 4,25% GE26 RUB
XS2109379607 WORLD BANK SUSTAINABLE TF 5% GE25 RUB
XS2431024996 WORLD BANK GREEN BOND TF 6,75% GE27 RUB
XS1596058419 IFC TF 6,375% AP22 RUB
XS1793259265 IFC TF 5,5% MZ23 RUB
XS1796077789 IFC TF 5,25% MZ22 RUB
XS1945291398 IFC TF 6,5% FB26 RUB
XS2004425471 WORLD BANK SUSTAINABLE TF 6,14% GN22 RUB
XS1951318051 WORLD BANK SUSTAINABLE TF 6,75% NV22 RUB
XS2075938188 EBRD TF 5% NV24 RUB
XS2228199209 IFC ZC ST30 RUB
XS1555164299 EBRD TF 6% LG23 RUB
XS2302931394 IFC SOCIAL BOND TF 4,5% FB26 RUB
XS2406011507 IFC SOCIAL BOND TF 7,25% NV24 RUB
XS2205081297 EIB TF 3,75% LG24 RUB
XS2322452710 INTSANPAOLO TF 5,75% MZ23 RUB
AT0000A16EN6 RCB OE TrackX3 s Lukoil
AT0000A1TLX7 RCB OE TL.Z./Norilsk Nickel
AT0000A16EJ4 RCB OE TrackX3 l Novatek
XS0223715920 VTB 6 1/4 06/30/35 BOND
XS0842078536 VTB 6.95 10/17/22 BOND
XS2243636219 GAZPRU 3.897 PERP BOND
XS2363250833 GAZPRU 3 1/2 07/14/31
XS2291819980 GAZPRU 2.95 01/27/29
CH0374882816 GAZPRU 2 1/4 07/19/22 BOND
CH0404311711 GAZPRU 1.45 03/06/23
XS0191754729 GAZPRU 8 5/8 04/28/34 BOND
XS0885736925 GAZPRU 4.95 02/06/28 BOND
XS1585190389 GAZPRU 4.95 03/23/27 BOND
XS0805570354 GAZPRU 4.95 07/19/22 BOND
XS0906949523 GAZPRU 4.364 03/21/25 BOND
XS1911645049 GAZPRU 2.949 01/24/24 BOND
XS1795409082 GAZPRU 2 1/2 03/21/26 BOND
XS1721463500 GAZPRU 2 1/4 11/22/24 BOND
XS2196334671 GAZPRU 3 06/29/27 BOND
XS2301292400 GAZPRU 1 1/2 02/17/27 BOND
CH1120085688 GAZPRU 1.54 06/30/27 BOND
XS2157526315 GAZPRU 2.95 04/15/25 BOND
XS2243631095 GAZPRU 4.5985 PERP BOND
XS2408033210 GAZPRU 1.85 11/17/28 BOND
RU000A1034K8 RUSSIA 2.65 05/27/36 BOND
XS0993162683 VEBBNK 5.942 11/21/23 BOND
XS1760804184 BELRUS 6.2 02/28/30 BOND
XS1843443273 EVRAZ 5 1/4 04/02/24 BOND
XS2249778247 GTLKOA 4.8 02/26/28 BOND
XS52325559396 SCFRU 3.85 04/26/28 BOND
XS1433454243 $ SCF CAPITAL 23
XS2010044381 $ GTLK EUROPE CAPITAL 26
XS2131995958 $ GTLK EUROPE CAPITAL 27
XS1713473608 $ GTLK EUROPE CAPITAL 25
XS169135045 HYDRRM 8 1/8 09/28/22 SFPS
XS2082937967 HYDRRM 6.8 11/25/24 SFPS
XS0979891925 RSHB 8 1/2 10/16/23 BOND
XS0316524130 GAZPRU 7.288 08/16/37 SFPS
XS2124187571 GAZPRU 3 1/4 02/25/30 SFPS
XS1843437036 RURAIL 2.2 05/23/27 SFPS
XS0848530977 SBERRU 5 1/8 10/29/22 SFPS
XS0805131439 AKBARS 8 07/13/22 SFPS
XS2099763075 CRBKMO 4.7 01/29/25 SFPS
XS1601094755 CRBKMO 8 7/8 PERP BOND
XS1951067039 CRBKMO 5.15 02/20/24 SFPS

 

Terms of business for the provision of investment services : attached