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  • MiFID / Natixis’ policy

    Protecting clients
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    Purpose of MiFID

    The regulatory frameworks for investment service providers has been significantly revised by the European authorities, in response to the 2008 financial crisis, driven by a double purpose to improve the transparency of financial markets and to increase the investors protection.
    For transactions on financial markets, the measures introduced by the regulations aim to limit the opacity of markets, regardless of the products traded (shares, bonds, derivatives). Pre- and post-trade transparency is thus at the center of the device, materialized by higher requirements in terms of publication of transactions and reporting to supervisors.


    In this post-crisis context, investor protection remains a priority. Measures to provide clients with standardized and detailed information, ex ante and ex post, on costs and charges are a key element of the recently implemented devices. The introduction of a product governance and client knowledge system within the organizations, which aims to offer clients the best product for their profile, its needs and objectives, is also a significant progress. The rules of professional conduct aimed in particular at preventing conflicts of interest with regard to the remuneration of brokers have been significantly revised, by introducing a strict framework or even prohibitions in certain situations, thus recalling the fundamental nature of the primacy of the client's interest.

    • 01-01-18 MIFID - General Information Document 732.05 KB

    Best Execution Policy

    As part of the European directive MiFID, Natixis is required to establish a policy for the execution of orders for the benefit of its professional and non-professional clients. The execution rules adopted are listed in detail in the documents available on our website. This execution policy is accompanied, in some cases, by an obligation of best execution which involves the implementation of measures within Natixis guaranteeing the best execution of orders for each client (assessed by costs and speed). We monitor continuously the effectiveness of our rules for the execution of orders and of our Execution Policy, to identify and implement improvements if needed. Also, Natixis reviews its Execution Policy on a regular basis to ensure that nothing affects its ability to continue to get the best results for its clients.

    • 12-10-20 Natixis order execution and selection policy 298.52 KB
    • 12-10-20 Summary of Natixis execution of orders policy 103.17 KB
    • 12-10-20 Execution venues 59.93 KB

    Quality of execution reportings (MiFID II – RTS 27)

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    • 09-30-20 2020 Quality of execution reportings 4 contents
      • 02-17-21 Reportings Q4 2020 11.78 MB
      • 12-03-20 Reportings Q3 2020 9.83 MB
      • 09-29-20 Reportings Q2 2020 11.13 MB
      • 06-29-20 Reportings Q1 2020 13.07 MB
    • 09-29-19 2019 Quality of execution reportings 5 contents
      • 08-30-20 Reportings Q4 2019 9.92 MB
      • 08-30-20 Reportings Q3 2019 9.48 MB
      • 08-30-20 Reportings Q2 2019 - V2 (October 2019, 9th) 10.67 MB
      • 08-30-20 Reportings Q2 2019 7.36 MB
      • 08-30-20 Reportings Q1 2019 7.91 MB
    • 09-30-18 2018 Quality of execution reportings 4 contents
      • 08-30-20 Reportings Q1 2018 11.68 MB
      • 08-30-20 Reportings Q2 2018 11.33 MB
      • 08-30-20 Reportings Q3 2018 10.15 MB
      • 08-30-20 Reportings Q4 2018 12.3 MB
    • Download 1 content Download $x$ contents

    Top 5 execution venues and entities reportings (MiFID II – RTS 28)

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    • 10-15-20 Files - Top 5 Execution Venues and Top 5 Entities used by Natixis in 2019 2 contents
      • 10-19-20 2019 Reportings and comments 228.78 KB
      • 10-15-20 2019 Files 13.41 KB
    • 10-15-20 Top 5 Execution Venues and Top 5 Entities used by Natixis in 2018 2 contents
      • 08-28-20 2018 Reportings and comments 731.4 KB
      • 04-26-19 2018 Files 2.66 KB
    • 10-15-20 Top 5 Execution Venues and Top 5 Entities used by Natixis in 2017 2 contents
      • 10-15-20 2017 Reportings and comments 186.93 KB
      • 10-15-20 2017 Files 16.13 KB
    • Download 1 content Download $x$ contents

    Managing conflicts of interest

    The primacy of the client's interest is a cornerstone of the ethics of Natixis. It is one of the founding principles of its activity visible in the policy of each of its institutions. It helps to prevent and manage conflicts that may arise during the provision of investment services between the interests of the institutions (or their staff) and those of a client or between a client's interests and those of another client. To detect potential conflicts of interests, the Compliance function implemented organizational measures, administrative procedures for the treatment and control of operations along with IT tools.

    • 12-17-20 Policy for the prevention and management of conflicts of interest 213.66 KB
    • 01-07-20 2020 Allocation policy 161.27 KB

    Information on the fees, commissions or non-monetary benefits

    Natixis would like to inform its clients (existing or potential) that within the context of its capital markets business, Natixis may receive from or pay to third parties (e.g. introducing brokers, distributors, brokers, asset managers) certain commissions, fees or non-monetary benefits in connection with the provision of investment or ancillary services. Upon request, Natixis may communicate to its clients any additional information relating to these remunerations, commissions or non-monetary benefits.

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    Find out more

    • Preventive arrangements against money laundering
      Compliance Preventive arrangements against money laundering
    • Foreign Account Tax Compliance Act (FATCA)
      Compliance Foreign Account Tax Compliance Act (FATCA)
    • Foreign Exchange (FOREX)
      Compliance Foreign Exchange (FOREX)
    • Dodd-Frank Act (regulatory requirements)
      Compliance Dodd-Frank Act (regulatory requirements)
    • Legal Entity Identifiers (LEIs)
      Compliance Legal Entity Identifiers (LEIs)
    • Common Reporting Standard (CRS)
      Compliance Common Reporting Standard (CRS)
    • Fight against corruption
      Compliance Fight against corruption
    • Data protection
    • MiFID / Natixis’ policy
      Compliance MiFID / Natixis’ policy
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