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Chapter III OPERATING CONDITIONS FOR INVESTMENT FIRMS

United Kingdom Repealed

Original text. Later amendments are not shown.

  1. 1Information to clients and potential clients
  2. 2Investment advice
  3. 3Assessment of suitability and appropriateness
  4. 4Reporting to clients
  5. 5Best execution
  6. 6Client order handling
  7. 7Eligible counterparties
  8. 8Record-keeping
  9. 9SME growth markets

Notes on the whole EU Regulation

Textual amendments

F1

Regulation revoked (5.4.2024 for the revocation of Arts. 84-89, 23.10.2025 in so far as not already in force) by Financial Services and Markets Act 2023 (c. 29), s. 86(3), Sch. 1 Pt. 3 (with s. 1(4)); S.I. 2023/1382, reg. 4(d)(i); S.I. 2025/1078, reg. 2(b) (with reg. 11)