Artikel 15 Specifika anställdas situation

This is a brief but important scoping article that clarifies where regulatory obligations sit when an individual who would otherwise be an obliged entity is operating as an employee of a legal person.

Rather than the individual bearing the compliance burden, it shifts the responsibility squarely onto the legal entity that employs them.

This connects directly to Article 3, which defines the categories of obliged entities, and effectively determines which party is accountable when those categories include natural persons working within a corporate structure.

Important points:

• Where a natural person from Article 3, point (3) acts as an employee of a legal person, compliance obligations fall on the legal person, not the individual.
• Ensure your organisation recognises itself as the regulated entity when employing professionals caught by Article 3, point (3).
• This article resolves any ambiguity about dual liability between an individual professional and their employing legal entity.