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Version status: Revoked | Document consolidation status: Updated to reflect all known changes
Version date: 3 January 2018 - onwards
  Version 3 of 3    

Regulation 113 Monitoring of compliance with the rules of the MTF and with other legal obligations

Revoked from 3 January 2018

Investment firms and market operators operating an MTF shall -

(a) establish and maintain effective arrangements and procedures, relevant to the MTF, for the regular monitoring of the compliance by its users with its rules,

(b) monitor the transactions undertaken by their users under their systems in order to identify -

(i) breaches of their rules,

(ii) disorderly trading conditions, and

(iii) conduct that may involve market abuse,

(c) report to the Bank without delay -

(i) significant breaches of their rules,

(ii) disorderly trading conditions, and

(iii) conduct that may involve market abuse, and

(d) provide full assistance to the Bank in investigating and prosecuting market abuse occurring on or through the systems of the investment firms, market operators or the MTF.

Comparing proposed amendment...