Content Options

View Options

Status: You are viewing the version of the handbook as on 2018-08-15.

MAR 5.6 Reporting requirements

MAR 5.6.1 R RP

1A firm2 must:

  1. (1)

    report to the FCA any2:

    1. (a)

      significant breaches of the firm's rules;

    2. (b)

      disorderly trading conditions;2

    3. (c)

      conduct that may involve market abuse; and2

    4. (d)

      system disruptions in relation to a financial instrument;2

  2. (2)

    supply the information required under this rule without delay to the FCA and any other authority competent for the investigation and prosecution of market abuse; and2

  3. (3)

    provide full assistance to the FCA, and any other authority competent for the investigation and prosecution of market abuse2, in its investigation and prosecution of market abuse2 occurring on or through the firm's systems.

[Note: article 31(2)2 of MiFID and articles 81 and 82 of the MiFID Org Regulation2

MAR 5.6.2 R RP

3A firm operating an MTF must give the FCA a summary of:

  1. (1)

    any proposal to introduce, amend or renew a scheme for rebating or waiving fees or charges levied on its members or participants (or any group or class of them), at the same time as the proposal is communicated to those members or participants; and

  2. (2)

    any such change, no later than the date when it is published or notified to the members or participants.

MAR 5.6.3 R

3The summary referred to in MAR 5.6.2R(1) must be given in the form specified in MAR 5 Annex 2R.