MiFID监管机构的职业保密：不再神圣*

Q2 Social Sciences

Law and Financial Markets Review Pub Date : 2019-07-11 DOI:10.1080/17521440.2019.1639293

L. Hiemstra

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引用次数: 0

摘要

在2018年6月19日Baumeister的判决中，欧盟法院（“法院”）从MiFID的角度审查了“机密信息”的含义。在回答提交初步裁决的问题时，法院审查了数据保密的标准。此外，法院指出，与受监督实体有关并由该实体本身提供给主管当局的信息，如果超过五年，则不一定符合保密条件。对于受到金融监管的市场参与者来说，这一判断的后果是什么？

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Professional secrecy of supervisory authorities under MiFID: no longer sacred?*

In the Baumeister judgment of 19 June 2018, the Court of Justice of the European Union (the “Court”) examines the meaning of “confidential information” from the point of view of MiFID. In answering questions referred for a preliminary ruling, the Court examines the criteria for the confidentiality of data. In addition, the Court states that information relating to a supervised entity and provided to a competent authority by such entity itself, does not necessarily qualify as confidential if a period of five years has elapsed. What is the consequence of this judgment for market participants that are subject to financial supervision?

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来源期刊

Law and Financial Markets Review LAW-

CiteScore

1.40

自引率

0.00%

发文量

期刊介绍： The Law and Financial Markets Review is a new, independent, English language journal devoted to providing high quality information, comment and analysis for lawyers specialising in banking and financial market issues and to others with interests in legal and regulatory developments affecting the financial markets. Published four times a year LFMR contains articles written by leading experts providing a forum for practical guidance on, as well as reflective and topical analysis of, all major jurisdictions, with a particular focus on the interaction between the law and market practice and behaviour.