Related provisions for REC 2.7.3A
1 - 9 of 9 items.
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
Schedule to the Recognition Requirements Regulations, Paragraph 7C2(1)This paragraph applies to [a UK RIE] which provides central counterparty, clearing or settlement facilities.(2)The [UK RIE] must make transparent and non-discriminatory rules based on objective criteria, governing access to those facilities.(3)The rules under sub-paragraph (2) must enable an investment firm or a credit institution authorised by the competent authority of another EEA State (including a branch
4Schedule to the Recognition Requirements Regulations, Paragraph 9ZC[Note: this sub-paragraph is relevant to regulated markets only. See REC 2.16A regarding MTFs or OTFs.](1)The rules of the [UK RIE] about access to, or membership of, a regulated market operated by it must permit the [UK RIE] to give access to or admit membership to (as the case may be) only -(a)an investment firm authorised under article 5 of [MiFID];(b)a credit institution authorised in accordance with the capital
Schedule to the Recognition Requirements Regulations, paragraphs 3 – 3H4Paragraph 3 – Systems and controls4(1)The [UK RIE] must ensure that the systems and controls, including procedures and arrangements,4 used in the performance of its functions and the functions of the trading venues it operates are adequate, effective4 and appropriate for the scale and nature of its business.(2)Sub-paragraph (1) applies in particular to systems and controls concerning - (a)the transmission
1Paragraph 7BA – Position management(1)A [UK RIE] operating a trading venue which trades commodity derivatives must apply position management controls on that venue, which must at least enable the [UK RIE] to -(a)monitor the open interest positions of persons; (b)access information, including all relevant documentation, from persons about-(i)the size and purpose of a position or exposure entered into; (ii)any beneficial or underlying owners;(iii)any concert arrangements; and(iv)any
1Note: The following definitions relevant to the listing rules are extracted from the Glossary.ActThe Financial Services and Markets Act 2000.admission or admission to listing admission of securities to the official list .admission to tradingadmission of securities to trading on an RIE's market for listedsecurities.advertisement(as defined in the PD Regulation) announcements:(a)relating to a specific offer to the public of securities or to an admission to trading on a regulated