Policies for clients using Nordea's investment services
In this section you find policies and other disclosures relevant for services provided by Nordea Bank Abp. Investment services in the EU are harmonized according to the MiFID (Markets in Financial Instruments Directive) regulation. The directive affects all our customers buying investment services. The directive impacts on, among other things, securities brokerage in share, fund, bond and derivatives transactions, investment advice and asset management.
How we operate
The main objective of the directive is to improve investor protection, harmonise investment services and increase competition in the financial sector within the EU. In accordance to above we are:
Classifying all our customers who buy investment services from us
Assess the suitability of a service for the customer
Provide the customer with best execution when executing customer orders
Nordea conducts its business according to the principle that it must manage conflicts of interest fairly, both between itself and its clients and between one client and another. The Conflicts of Interest Policy explains the fundamentals of how Nordea identifies, prevents and manages conflicts of interest.
These documents provide information on how Nordea seeks to provide the best possible result for its clients when executing or transmitting client orders and transactions in financial instruments.
This document provides information on the Commercial Policy when Nordea acts as Systematic Internaliser for certain financial instruments. In addition to the regulatory requirements in MiFID II/MiFIR and implementing legislation, the Commercial Policy sets out Nordea’s standards for governing access to quotes as well as certain other particulars that are relevant for customers to be aware of.
These documents set out Nordea’s policies and procedures for customer categorisation into the categories “non-professional customer”, “professional customer” and “eligible counterparty”. Customers are classified as required under relevant legislation and the categorisation made affects the level of investor protection.
Nordea conducts its business in the wholesale foreign exchange market according to the principles of the FX Global Code. The disclosures set out the standard business practices of dealing in wholesale FX markets and establish the basis on which we can provide our clients with pricing and execution of their trade requests.
The following disclosures set out the swap dealer requirements for Nordea Bank Abp (“Nordea”) to provide certain disclosures with certain counterparties.
Nordea is registered with the U.S. Commodity Futures Trading Commission ("CFTC") as a non-U.S. swap dealer pursuant to the Commodity Exchange Act ("CEA"). As a registered swap dealer, Nordea is required to make certain material disclosures prior to entering into a swap transaction with certain counterparties, as regulated by the CFTC.
These documents provide the terms and conditions for the trading services offered by Nordea through Nordea Markets and other parts of Large Corporates & Institutions when trading in financial instruments.
These documents set out the terms and conditions as well as information on Nordea’s provision of investment services under MiFID II and related services offered by Nordea Markets and other parts of Large Corporates & Institutions.
These documents provide information on the top five venues in terms of trading volumes for all executed client orders and a summary of conclusions drawn from the analysis and monitoring of Nordea’s execution quality.