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Chapter 1 General provisions (regs. 28-30) |
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Regulation 28 Regular review of conditions for initial authorisation |
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Regulation 29 General obligation in respect of on-going supervision |
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Regulation 30 Conflicts of interest |
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Chapter 2 Provisions to ensure investor protection (regs. 31-38) |
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Regulation 31 Duty to act in interests of clients and comply with principles |
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Regulation 32 General principles and information to clients |
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Regulation 33 Assessment of suitability and appropriateness and reporting to clients |
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Regulation 34 Provision of services through the medium of another investment firm |
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Regulation 35 Obligation to execute orders on terms most favourable to client |
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Regulation 36 Client order handling rules |
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Regulation 37 Obligations of investment firms when appointing tied agents |
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Regulation 37A Services provided to professional clients |
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Regulation 38 Transactions executed with eligible counterparties |
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Chapter 3 Market transparency and integrity (regs. 39-40) |
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Regulation 39 Monitoring of compliance with rules of MTF or OTF and with other legal obligations |
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Regulation 40 Suspension and removal of financial instruments from trading on MTF or OTF |
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Chapter 4 SME growth markets (reg. 41) |
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Regulation 41 SME growth markets |
