OpenLegislation

Title III TRANSPARENCY FOR SYSTEMATIC INTERNALISERS AND INVESTMENT FIRMS TRADING OTC AND TICK SIZE REGIME FOR SYSTEMATIC INTERNALISERSF1F2

United Kingdom

Original text. Later amendments are not shown.

  1. 14Obligation for systematic internalisers to make public firm quotes in respect of shares, depositary receipts, ETFs, certificates and other similar financial instruments
  2. 15Execution of client orders
  3. 16Obligations of competent authorities
  4. 17Access to quotes
  5. 17aTick sizes
  6. 18Systematic internalisers: pre-trade transparency requirements for fixed income instruments and derivatives etc
  7. 18aArticle 18: waivers and suspensions for fixed income instruments and derivatives etc
  8. 18bNotification and publication requirements
  9. 19Monitoring by the competent authority
  10. 20Post-trade disclosure by investment firms, including systematic internalisers, in respect of shares, depositary receipts, ETFs, certificates and other similar financial instruments
  11. 21Investment firms (including systematic internalisers): post-trade transparency requirements for fixed income instruments and derivatives etc
  12. 22Providing information for the purposes of transparency and other calculations
  13. 23Investment firms operating internal matching systems

Annotations

Textual amendments

F1

Regulation revoked (5.4.2024 for the revocation of Sch. 3 paras. 17, 34-39, 1.12.2025 for the revocation of Art. 18b, 30.3.2026 for the revocation of Arts. 4, 4a) by Financial Services and Markets Act 2023 (c. 29), s. 86(3), Sch. 1 Pt. 1 (with s. 1(4)); S.I. 2023/1382, reg. 4(b); S.I. 2025/1078, regs. 4(b), 6(b)

F2

Substituted by Regulation (EU) 2019/2033 of the European Parliament and of the Council of 27 November 2019 on the prudential requirements of investment firms and amending Regulations (EU) No 1093/2010, (EU) No 575/2013, (EU) No 600/2014 and (EU) No 806/2014 (Text with EEA relevance).