Regulation 600/2014/EU - MiFIR Regulation (UK MiFIR) (Assimilated Law)

To be revoked by s. 1 and Sch. 1 Pt 1 to the Financial Services and Markets Act 2023 (c. 29) (FSMA 2023), Sch. 1 Pt 1 not yet fully commenced.

Comparing proposed amendment...


	Recitals
	Title I Subject matter, scope and definitions (arts. 1-2)
In force	Article 1 Subject matter and scope
In force	⚠ Article 2 Definitions
	Title II Transparency for trading venues (arts. 3-13)
	Chapter 1 Transparency for equity instruments (arts. 3-7)
In force	⚠ Article 3 Pre-trade transparency requirements for trading venues in respect of shares, depositary receipts, ETFs, certificates and other similar financial instruments
In force	⚠ Article 4 Waivers for equity instruments
In force	Article 4a Suspension of waivers
Omitted	Article 5 Volume cap mechanism
In force	Article 6 Post-trade transparency requirements for trading venues in respect of shares, depositary receipts, ETFs, certificates and other similar financial instruments
In force	Article 7 Authorisation of deferred publication
	⚠ Chapter 2 Transparency for non-equity instruments (arts. 8-11)
In force	⚠ Article 8 Pre-trade transparency requirements for trading venues in respect of bonds, structured finance products, emission allowances and derivatives
In force	⚠ Article 9 Waivers for non-equity instruments
In force	⚠ Article 10 Post-trade transparency requirements for trading venues in respect of bonds, structured finance products, emission allowances and derivatives
In force	⚠ Article 11 Authorisation of deferred publication
	Chapter 3 Obligation to offer trade data on a separate and reasonable commercial basis (arts. 12-13)
In force	⚠ Article 12 Obligation to make pre-trade and post-trade data available separately
In force	⚠ Article 13 Obligation to make pre-trade and post-trade data available on a reasonable commercial basis
	Title III Transparency for Systematic Internalisers and Investment Firms Trading OTC and Tick Size Regime for Systematic Internalisers (arts. 14-23)
In force	Article 14 Obligation for systematic internalisers to make public firm quotes in respect of shares, depositary receipts, ETFs, certificates and other similar financial instruments
In force	Article 15 Execution of client orders
In force	Article 16 Obligations of competent authorities
In force	Article 17 Access to quotes
In force	Article 17a Tick sizes
In force	⚠ Article 18 Obligation for systematic internalisers to make public firm quotes in respect of bonds, structured finance products, emission allowances and derivatives
Not yet in force	⚠ Article 18a Article 18: waivers and suspensions for fixed income instruments and derivatives etc
Not yet in force	⚠ Article 18b Notification and publication requirements
In force	⚠ Article 19 Monitoring by the competent authority
In force	Article 20 Post-trade disclosure by investment firms, including systematic internalisers, in respect of shares, depositary receipts, ETFs, certificates and other similar financial instruments
In force	⚠ Article 21 Post-trade disclosure by investment firms, including systematic internalisers, in respect of bonds, structured finance products, emission allowances and derivatives
In force	⚠ Article 22 Providing information for the purposes of transparency and other calculations
In force	Article 23 Investment firms operating internal matching systems
	Title IV Transaction reporting (arts. 24-27)
In force	Article 24 Obligation to uphold integrity of markets
In force	Article 25 Obligation to maintain records
In force	⚠ Article 26 Obligation to report transactions
In force	Article 27 Obligation to supply financial instrument reference data
	Title V Derivatives (arts. 28-34)
In force	Article 28 Obligation to trade on regulated markets, MTFs or OTFs
Not yet in force	⚠ Article 28a Suspension or modification of Article 28
In force	Article 29 Clearing obligation for derivatives traded on regulated markets and timing of acceptance for clearing
In force	Article 30 Indirect clearing arrangements
In force	⚠ Article 31 Portfolio compression
In force	Article 32 Trading obligation procedure
In force	Article 33 Mechanism to avoid duplicative or conflicting rules
In force	Article 34 Register of derivatives subject to the trading obligation
	Title VI Non-discriminatory clearing access for financial instruments (arts. 35-38)
In force	Article 35 Non-discriminatory access to a CCP
In force	Article 36 Non-discriminatory access to a trading venue
In force	Article 37 Non-discriminatory access to and obligation to licence benchmarks
In force	Article 38 Access for third-country CCPs and trading venues
	Title VII Supervisory measures on product intervention and positions (arts. 39-45)
	Chapter 1 Product monitoring and intervention (arts. 39-43)
In force	Article 39 Market monitoring
Omitted	Article 40 ESMA temporary intervention powers
Omitted	Article 41 EBA temporary intervention powers
In force	Article 42 Product intervention by competent authorities
Omitted	Article 43 Coordination by ESMA and EBA
	Chapter 2 Positions (arts. 44-45)
Omitted	Article 44 Coordination of national position management measures and position limits by ESMA
Omitted	Article 45 Position management powers of ESMA
	Title VIII Provision of sevices and performance of activities by third-country firms following an equivalence determination with or without a branch (arts. 46-49C)
In force	Article 46 General provisions
In force	⚠ Article 47 Equivalence determination
In force	Article 48 Register
In force	Article 48A Requirements
In force	Article 49 Temporary prohibitions and restrictions and withdrawal of registration
In force	Article 49A Temporary prohibitions and restrictions: procedure
In force	Article 49B Withdrawal of registration: procedure
In force	Article 49C Notices under Articles 49A and 49B
	Title IX Regulations, directions, rules and transferred functions (arts. 50-51)
	Chapter 1 Delegated acts (art. 50) [Deleted]
In force	Article 50 Treasury Regulations
In force	Article 50A Treasury Directions
In force	⚠ Article 50B FCA Directions identifying relevant area of the UK
In force	⚠ Article 50C Other FCA directions
In force	⚠ Article 50D FCA rules
	Chapter 2 Implementing acts (art. 51) [Deleted]
In force	Article 51 Transfer of MiFID functions
	Title X Final provisions (arts. 52-55)
Omitted	Article 52 Reports and review
In force	Article 53 Amendment of regulation (EU) No 648/2012
Omitted	Article 54 Transitional provisions
In force	Article 55 Entry into force and application
	Schedule 1 Professional clients for the purposes of this regulation
In force	Schedule 1, Part 1 Introduction (paras. 1-2)
In force	Schedule 1, Part 2 Categories of client who are considered to be professional clients (paras. 3-4)
In force	Schedule 1, Part 3 Clients who may be treated as professionals on request (para. 5)
In force	Schedule 1, Part 4 Procedure (para. 6)
In force	Schedule 2 Directive 2014/65/EU - EU Regulations made under Title II
	Schedule 3 Transfer of Functions to the Treasury and Regulators
In force	Schedule 3, Part 1 Directive functions transferred to the Treasury (paras. 1-18)
In force	Schedule 3, Part 2 Powers to make technical standards transferred to the FCA (paras. 19-39)
In force	Schedule 3, Part 3 Powers to make technical standards transferred to the PRA and the FCA (paras. 40-44)
	Done at

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