Related provisions for SUP 17.2.3A

1 - 3 of 3 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).

SUP 17.2.3RRP
1A firm is relieved of its obligation to make a transaction2report2 if the transaction is instead reported directly to the FSA by an approved reporting mechanism2, or by a regulated market or MTF through whose systems the transaction was completed.[Note: article 25(5) of MiFID]2
SUP 17.2.5RRP
(1) 21The operator of , an approved reporting mechanism2, or the operator of an MTF or a market operator through whose systems a reportable transaction is to be completed and which has, pursuant to SUP 17.2.3 R, agreed to make transactionreports2 to the FSA on behalf of a firm, must:2(a) make reports to the FSA in respect of each to which the agreement relates;2(b) ensure such reports 2contain the reporting fields specified in SUP 17 Annex 1, where applicable; and2(c) ensure
SUP 17.1.1RRP
1This chapter applies to:(1) a MiFID investment firm;(2) a third country investment firm; and to(3) a person who is the operator of an approved reporting mechanism or of a regulated market or MTF that is used by a firm to report transactions to the FSA; and(4) a firm acting in its capacity as a manager or operator of:(a) a collective investment undertaking; or(b) a pension scheme; or(c) an occupational pension scheme; or(d) a personal pension scheme; or(e) a stakeholder pension
FEES 1.1.2RRP
This manual applies in the following way:(1) FEES 1, 2 and 3 apply to:(a) every applicant for Part IV permission (including an incoming firm applying for top-up permission);(b) every Treaty firm that wishes to exercise a Treaty right to qualify for authorisation under Schedule 4 to the Act (Treaty rights), except those providing cross border services only,2 in respect of regulated activities for which it does not have an EEA right; (c) every applicant for a certificate under article