senior management
as defined in Directive 2014/65/EU of the European Parliament and of the Council of 15 May…, Article 4(1), point (37) (Definitions)
natural persons who exercise executive functions within an investment firm, a market operator or a data reporting services provider and who are responsible, and accountable to the management body, for the day-to-day management of the entity, including for the implementation of the policies concerning the distribution of services and products to clients by the firm and its personnel;
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Also defined in
- Regulation (EU) 2024/1624 of the European Parliament and of the Council of 31 May 2024 on the prevention of the use of… 32024R1624, Article 2(1), point (40)
the members of the management body in its management function, as well as officers and employees with sufficient knowledge of the obliged entity’s money laundering and terrorist financing risk exposure and sufficient seniority to take decisions affecting its risk exposure - Directive (EU) 2015/849 of the European Parliament and of the Council of 20 May 2015 on the prevention of the use of… 32015L0849, Article 3, point (12)
an officer or employee with sufficient knowledge of the institution's money laundering and terrorist financing risk exposure and sufficient seniority to take decisions affecting its risk exposure, and need not, in all cases, be a member of the board of directors - Regulation (EU) No 909/2014 of the European Parliament and of the Council of 23 July 2014 on improving securities… 32014R0909, Article 2(1), point (46)
those natural persons who exercise executive functions within a CSD and who are responsible and accountable to the management body for the day-to-day management of that CSD - Directive 2014/59/EU of the European Parliament and of the Council of 15 May 2014 establishing a framework for the… 32014L0059, Article 2(1), point (25)
senior management as defined in point (9) of Article 3(1) of Directive 2013/36/EU; - CRR 32013R0575, Article 4(1), point (10)
senior management as defined in point (9) of Article 3(1) of Directive 2013/36/EU - Directive 2013/36/EU of the European Parliament and of the Council of 26 June 2013 on access to the activity of credit… 32013L0036, Article 3(1), point (9)
those natural persons who exercise executive functions within an institution and who are responsible, and accountable to the management body, for the day-to-day management of the institution - Regulation (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central… 32012R0648, Article 2, point (29)
the person or persons who effectively direct the business of the CCP or the trade repository, and the executive member or members of the board - Regulation (EC) No 1060/2009 of the European Parliament and of the Council of 16 September 2009 on credit rating… 32009R1060, Article 3(1), point (n)
the person or persons who effectively direct the business of the credit rating agency and the member or members of its administrative or supervisory board - Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial… 02014R0600-20251123, Article 2(1)
(22a) ‘senior management’ means senior management as defined in point (37) of Article 4(1) of Directive 2014/65/EU;