The exemption referred to in paragraph (4) of rule 5.1.3 of the Disclosure Guidance and Transparency Rules sourcebook shall apply to financial instruments held by a natural person or legal entity fulfilling orders received from clients, responding to a client's request to trade otherwise than on a proprietary basis, or hedging positions arising out of such dealings.
You are viewing Article 6 Client-serving transactions as of Article 6 Client-serving transactions was last updated on 01/01/2021.