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Status: You are viewing the version of the handbook as on 2018-12-10.

SUP 17A.1 Application

SUP 17A.1.1RRP

1This chapter applies to:

  1. (1)

    a MiFID investment firm (excluding a collective portfolio management investment firm) which:

    1. (a)

      executes transactions in a reportable financial instrument; and

    2. (b)

      is required under article 26(1) of MiFIR to report its transactions to the FCA;

  2. (2)

    an operator of a trading venue:

    1. (a)

      through whose systems and platforms a transaction in a reportable financial instrument is executed by a person not subject to MiFIR; and

    2. (b)

      which is required under article 26(5) of MiFIR to report such transactions to the FCA;

  3. (3)

    a third country investment firm which executes transactions in a reportable financial instrument; and

  4. (4)

    a systematic internaliser or an operator of a trading venue which is required under article 27 of MiFIR to supply identifying reference data relating to financial instruments traded on its system or trading venue to the FCA.

[Note: article 26 of MiFIR and MiFID RTS 22 contain requirements regarding transaction reporting that are directly applicable to a firm in SUP 17A.1.1R(1) or (2), and to an ARM or an operator of a trading venue which acts on behalf of a MiFID investment firm subject to article 26(1) of MiFIR]

SUP 17A.1.2GRP

1GEN 2.2.22AR has the effect of requiring third country investment firms to comply with the transaction reporting requirements in article 26 of MiFIR and MiFID RTS 22 as though they were MiFID investment firms.

[Note: article 27 of MiFIR and MiFID RTS 23 contain requirements about the supply of reference data that are directly applicable to a systematic internaliser in relation to financial instruments traded on its system or a trading venue in relation to financial instruments admitted to trading on a regulated market or traded on an MTF or OTF]