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You are viewing the version of the document as on 2022-01-01.

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    2022-01-01

MAR 5A.8 Reporting requirements

MAR 5A.8.1 R RP

1A firm must

  1. (1)

    report to the FCA any:

    1. (a)

      significant breaches of the firm’s rules;

    2. (b)

      disorderly trading conditions;

    3. (c)

      conduct that may involve market abuse; and

    4. (d)

      system disruptions in relation to a financial instrument;

  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; and

  3. (3)

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

[Note: article 31(2) of MiFID, articles 81 and 82 of the MiFID Org Regulation, MiFID RTS 18 and MiFID ITS 2]