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Regulation 600/2014/EU - MiFIR Regulation (UK MiFIR) (Assimilated Law)Recitals Title I Subject matter, scope and definitions (arts. 1-2)Article 1 Subject matter and scope Article 2 Definitions Title II Transparency for trading venues (arts. 3-13)Chapter 1 Transparency for equity instruments (arts. 3-7)Article 3 Pre-trade transparency requirements for trading venues in respect of shares, depositary receipts, ETFs, certificates and other similar financial instruments Article 4 Waivers for equity instruments Article 4a Suspension of waivers Article 5 Volume cap mechanism Article 6 Post-trade transparency requirements for trading venues in respect of shares, depositary receipts, ETFs, certificates and other similar financial instruments Article 7 Authorisation of deferred publication Chapter 2 Transparency for non-equity instruments (arts. 8-11)Article 8 Pre-trade transparency requirements for fixed income instruments and derivatives etc Article 9 Article 8: waivers or suspensions for fixed income instruments and derivatives etc Article 10 Post-trade transparency requirements for fixed income instruments and derivatives etc Article 11 Article 10: deferrals and suspensions for fixed income instruments and derivatives etc Chapter 3 Obligation to offer trade data on a separate and reasonable commercial basis (arts. 12-13)Article 12 Obligation to make pre-trade and post-trade data available separately 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)Article 14 Obligation for systematic internalisers to make public firm quotes in respect of shares, depositary receipts, ETFs, certificates and other similar financial instruments Article 15 Execution of client orders Article 16 Obligations of competent authorities Article 17 Access to quotes Article 17a Tick sizes Article 18 Systematic internalisers: pre-trade transparency requirements for fixed income instruments and derivatives etc Article 18a Article 18: waivers and suspensions for fixed income instruments and derivatives etc Article 18b Notification and publication requirements Article 19 Monitoring by the competent authority Article 20 Post-trade disclosure by investment firms, including systematic internalisers, in respect of shares, depositary receipts, ETFs, certificates and other similar financial instruments Article 21 Investment firms (including systematic internalisers): post-trade transparency requirements for fixed income instruments and derivatives etc Article 22 Providing information for the purposes of transparency and other calculations Article 23 Investment firms operating internal matching systems Title IV Transaction reporting (arts. 24-27)Article 24 Obligation to uphold integrity of markets Article 25 Obligation to maintain records Article 26 Obligation to report transactions Article 27 Obligation to supply financial instrument reference data Title V Derivatives (arts. 28-34)Article 28 Obligation to trade on regulated markets, MTFs or OTFs Article 28a Suspension or modification of Article 28 Article 29 Clearing obligation for derivatives traded on regulated markets and timing of acceptance for clearing Article 30 Indirect clearing arrangements Article 31 Risk reduction services Article 32 Trading obligation procedure Article 33 Mechanism to avoid duplicative or conflicting rules Article 34 Register of derivatives subject to the trading obligation Title VI Non-discriminatory clearing access for financial instruments (arts. 35-38)Article 35 Non-discriminatory access to a CCP Article 36 Non-discriminatory access to a trading venue Article 37 Non-discriminatory access to and obligation to licence benchmarks 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)Article 39 Market monitoring Article 40 ESMA temporary intervention powers Article 41 EBA temporary intervention powers Article 42 Product intervention by competent authorities Article 43 Coordination by ESMA and EBA Chapter 2 Positions (arts. 44-45)Article 44 Coordination of national position management measures and position limits by ESMA 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)Article 46 General provisions Article 47 Equivalence determination Article 48 Register Article 48A Requirements Article 49 Temporary prohibitions and restrictions and withdrawal of registration Article 49A Temporary prohibitions and restrictions: procedure Article 49B Withdrawal of registration: procedure 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]Article 50 Treasury Regulations Article 50A Treasury Directions Article 50B FCA Directions identifying relevant area of the UK Article 50C Other FCA directions Article 50D FCA rules Chapter 2 Implementing acts (art. 51) [Deleted]Article 51 Transfer of MiFID functions Title X Final provisions (arts. 52-55)Article 52 Reports and review Article 53 Amendment of regulation (EU) No 648/2012 Article 54 Transitional provisions Article 55 Entry into force and application Schedule 1 Professional clients for the purposes of this regulation Schedule 1, Part 1 Introduction (paras. 1-2)Schedule 1, Part 2 Categories of client who are considered to be professional clients (paras. 3-4)Schedule 1, Part 3 Clients who may be treated as professionals on request (para. 5)Schedule 1, Part 4 Procedure (para. 6)Schedule 2 Directive 2014/65/EU - EU Regulations made under Title II Schedule 3 Transfer of Functions to the Treasury and Regulators Schedule 3, Part 1 Directive functions transferred to the Treasury (paras. 1-18)Schedule 3, Part 2 Powers to make technical standards transferred to the FCA (paras. 19-39)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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Version status: | Document consolidation status: Assimilated law updated to reflect all known changes

Version date: 31 December 2020 - onwards

Done at Brussels, 15 May 2014.

For the European Parliament

The President

M. SCHULZ

For the Council

The President

D. KOURKOULAS

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