Since the scope of prudential regulation should be limited to those entities which, by virtue of running a trading book on a professional basis, represent a source of counterparty risk to other market participants, entities which deal on own account in financial instruments, including those commodity derivatives covered by this Directive, as well as those that provide investment services in commodity derivatives to the clients of their main business on an ancillary basis to their main business when considered on a group basis, provided that this main business is not the provision of investment services within the meaning of this Directive, should be excluded from the scope of this Directive.
Ker bi moralo biti področje urejanja skrbnega in varnega poslovanja omejeno na subjekte, ki zaradi tega, ker poklicno vodijo knjige naročil, predstavljajo vir tveganja pogodbene stranke za druge udeležence na trgu, bi morali biti subjekti, ki poslujejo za lastni račun s finančnimi instrumenti, vključno z izvedenimi finančnimi instrumenti na blago, za katere velja ta direktiva, in tisti, ki opravljajo investicijske storitve z izvedenimi finančnimi instrumenti na blago za stranke svojega glavnega posla kot pomožno dejavnostjo svoji glavni dejavnosti gledano na ravni skupine, pod pogojem, da ta glavni posel ni zagotavljanje investicijskih storitev v smislu te direktive, izključeni iz področja uporabe te direktive.