Related provisions for REC 2.16A.1B

1 - 14 of 14 items.

Search Term(s)

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

Schedule to the Recognition Requirements Regulations, Paragraph 7B2(1)The [UK RIE] must make transparent and non-discriminatory rules, based on objective criteria, governing access to, or membership of, its facilities.(2)In particular those rules must specify the obligations for users or members of its facilities arising from -(a)the constitution and administration of the [UK RIE];(b)rules relating to transactions on its trading venues4;(c)its professional standards for staff
7Schedule to the Recognition Requirements Regulations, Paragraph 9ZB[Note: This paragraph is relevant to regulated markets only. See REC 2.16A regarding MTFs or OTFs.](1)The rules of the [UK RIE] must ensure that all - (a)[financial instruments] admitted to trading on a [regulated market] operated by it are capable of being traded in a fair, orderly and efficient manner;(b)[transferable securities] admitted to trading on a [regulated market] operated by it are freely negotiable;
REC 2.17.2UKRP
Schedule to the Recognition Requirements Regulations, Part II2Paragraph 10 (Default rules in respect of market contracts)(1)The [UK RIE] must havedefault ruleswhich, in the event of amemberof the [UK RIE] being or appearing to be unable to meet his obligations in respect of one or moremarket contracts, enable action to be taken in respect of unsettledmarket contractsto which he is party.(2)The [default rules] may authorise the taking of the same or similar action in relation to
REC 3.18.1GRP
(1) The purpose of REC 3.18 is to enable the FCA4 to monitor changes in the types of member admitted by UK recognised bodies and to ensure that the FCA4has notice of foreign jurisdictions in which the members of UK recognised bodies are based. UK recognised bodies may admit persons who are not authorised persons or persons who are not located in the United Kingdom, provided that the recognition requirements2or (for RAPs) RAP recognition requirements continue to be met.44(2) REC