Part 4 Operating Conditions for Investment Firms (regs. 28-41)

Comparing proposed amendment...


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

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