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Status: You are viewing the version of the handbook as on 2016-10-03.

REC 3.25 Significant breaches of rules and disorderly trading conditions

REC 3.25.1RRP

1A UK RIE and an RAP 2must immediately notify the FCA 3of:

  1. (1)

    significant breaches of its rules; or

  2. (2)

    disorderly trading conditions on any of its markets or auctions.2

[Note: Article 26(2), first sentence (part) and Article 43(2), first sentence (part) of MiFID. The rest of Article 26(2), first sentence (in so far as it relates to market operators operating an MTF) and Article 43(2), first sentence of MiFID is implemented by REC 3.21.1 R (2)]