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Status: You are viewing the version of the handbook as on 2012-12-13.

REC 4.2E Information: compliance of UK RIEs with the MiFID Regulation and Auction Regulation2


1Under section 293A of the Act, the FSA may require a UK RIE to give such information as it reasonably requires in order to satisfy itself that the UK RIE is complying with the MiFID Regulation, and (if the UK RIE operates an RAP) the auction regulation.2