{ "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017", "json_url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017.json", "id": "uksi/2017/701", "title": "The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017", "short_title": "Financial Services and Markets Act 2000 (Markets in Financial Instruments) 2017", "long_title": "These Regulations implement parts of Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments (recast) (OJ L173, 12/6/2014 p.349) (“MiFID II”) and Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments (OJ L173, 12/06/2014 p.84) (“MiFIR”). MiFID II and MiFIR together replace Directive 2004/39/EC on markets in financial instruments (OJ L145, 30/04/2004 p.1) (“MiFID I”).", "citation": "S.I. 2017/701", "type": "uksi", "year": "2017", "number": "701", "version": "current", "date": "2017-06-21", "revised": true, "valid_from": "2026-07-06", "extent": "E+W+S+N.I.", "unapplied_effects": 1, "provisions": [ { "path": "introduction", "kind": "introduction", "number": null, "heading": "Introductory text", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/introduction", "extent": null, "status": null, "parent": null }, { "path": "part/1", "kind": "part", "number": "1", "heading": "Introductory provisions", "url": null, "extent": "E+W+S+N.I.", "status": null, "parent": null }, { "path": "regulation/1", "kind": "regulation", "number": "1", "heading": "Citation and commencement", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-1", "extent": "E+W+S+N.I.", "status": null, "parent": "part/1" }, { "path": "regulation/2", "kind": "regulation", "number": "2", "heading": "Interpretation", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-2", "extent": "E+W+S+N.I.", "status": null, "parent": "part/1" }, { "path": "regulation/2A", "kind": "regulation", "number": "2A", "heading": "References to EU Regulations etc", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-2A", "extent": "E+W+S+N.I.", "status": null, "parent": "part/1" }, { "path": "regulation/2B", "kind": "regulation", "number": "2B", "heading": "High message intraday rate", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-2B", "extent": null, "status": null, "parent": "part/1" }, { "path": "regulation/3", "kind": "regulation", "number": "3", "heading": "Designation of competent authorities", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-3", "extent": "E+W+S+N.I.", "status": null, "parent": "part/1" }, { "path": "part/2", "kind": "part", "number": "2", "heading": "Exempt and third-country investment firms", "url": null, "extent": "E+W+S+N.I.", "status": null, "parent": null }, { "path": "part/2/chapter/1", "kind": "chapter", "number": "1", "heading": "Exempt investment firms", "url": null, "extent": "E+W+S+N.I.", "status": null, "parent": "part/2" }, { "path": "regulation/4", "kind": "regulation", "number": "4", "heading": "Applications to be an exempt investment firm", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-4", "extent": null, "status": null, "parent": "part/2/chapter/1" }, { "path": "regulation/5", "kind": "regulation", "number": "5", "heading": "Limitation on exempt investment firms", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-5", "extent": "E+W+S+N.I.", "status": "repealed", "parent": "part/2/chapter/1" }, { "path": "regulation/6", "kind": "regulation", "number": "6", "heading": "Requirements applying to exempt investment firms", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-6", "extent": "E+W+S+N.I.", "status": null, "parent": "part/2/chapter/1" }, { "path": "regulation/7", "kind": "regulation", "number": "7", "heading": "Transitional provision: exempt investment firms", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-7", "extent": null, "status": null, "parent": "part/2/chapter/1" }, { "path": "regulation/8", "kind": "regulation", "number": "8", "heading": "Meaning of “exempt investment firm” in Chapter 1", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-8", "extent": "E+W+S+N.I.", "status": null, "parent": "part/2/chapter/1" }, { "path": "part/2/chapter/2", "kind": "chapter", "number": "2", "heading": "Third country investment firms", "url": null, "extent": "E+W+S+N.I.", "status": null, "parent": "part/2" }, { "path": "regulation/9", "kind": "regulation", "number": "9", "heading": "Third country firms with an EEA branch: provision of services", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-9", "extent": "E+W+S+N.I.", "status": "repealed", "parent": "part/2/chapter/2" }, { "path": "regulation/10", "kind": "regulation", "number": "10", "heading": "FCA power to intervene in relation to third country firms with an EEA branch", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-10", "extent": "E+W+S+N.I.", "status": "repealed", "parent": "part/2/chapter/2" }, { "path": "regulation/11", "kind": "regulation", "number": "11", "heading": "Third country firms registered with the FCA: provision of services", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-11", "extent": "E+W+S+N.I.", "status": null, "parent": "part/2/chapter/2" }, { "path": "regulation/12", "kind": "regulation", "number": "12", "heading": "FCA power to intervene in relation to third country firms registered with the FCA", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-12", "extent": "E+W+S+N.I.", "status": null, "parent": "part/2/chapter/2" }, { "path": "regulation/13", "kind": "regulation", "number": "13", "heading": "Third country firms: provision of services to eligible counterparties or clients considered to be professionals", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-13", "extent": null, "status": null, "parent": "part/2/chapter/2" }, { "path": "regulation/14", "kind": "regulation", "number": "14", "heading": "Third country firms: financial promotions", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-14", "extent": "E+W+S+N.I.", "status": null, "parent": "part/2/chapter/2" }, { "path": "regulation/15", "kind": "regulation", "number": "15", "heading": "Interpretation of Chapter 2", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-15", "extent": "E+W+S+N.I.", "status": null, "parent": "part/2/chapter/2" }, { "path": "part/3", "kind": "part", "number": "3", "heading": "Position limits and position management controls in commodity derivatives", "url": null, "extent": "E+W+S+N.I.", "status": null, "parent": null }, { "path": "regulation/15A", "kind": "regulation", "number": "15A", "heading": "FCA rules relating to position limits", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-15A", "extent": null, "status": null, "parent": "part/3" }, { "path": "regulation/16", "kind": "regulation", "number": "16", "heading": "FCA power to establish position limits", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-16", "extent": "E+W+S+N.I.", "status": null, "parent": "part/3" }, { "path": "regulation/17", "kind": "regulation", "number": "17", "heading": "Exemption for non-financial entities", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-17", "extent": "E+W+S+N.I.", "status": "repealed", "parent": "part/3" }, { "path": "regulation/18", "kind": "regulation", "number": "18", "heading": "Content of position limits", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-18", "extent": null, "status": "repealed", "parent": "part/3" }, { "path": "regulation/19", "kind": "regulation", "number": "19", "heading": "FCA duty to use Regulation (EU) 2017/591 to establish position limits and to review if market changes", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-19", "extent": "E+W+S+N.I.", "status": "repealed", "parent": "part/3" }, { "path": "regulation/20", "kind": "regulation", "number": "20", "heading": "ESMA opinions on position limits", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-20", "extent": "E+W+S+N.I.", "status": "repealed", "parent": "part/3" }, { "path": "regulation/21", "kind": "regulation", "number": "21", "heading": "Position limits affecting multiple EEA jurisdictions", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-21", "extent": "E+W+S+N.I.", "status": "repealed", "parent": "part/3" }, { "path": "regulation/22", "kind": "regulation", "number": "22", "heading": "Cooperation with other competent authorities regarding position limits affecting multiple EEA jurisdictions", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-22", "extent": "E+W+S+N.I.", "status": "repealed", "parent": "part/3" }, { "path": "regulation/23", "kind": "regulation", "number": "23", "heading": "General requirements for position limits", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-23", "extent": null, "status": null, "parent": "part/3" }, { "path": "regulation/24", "kind": "regulation", "number": "24", "heading": "FCA duty to notify ESMA of established position limits and position management controls", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-24", "extent": "E+W+S+N.I.", "status": "repealed", "parent": "part/3" }, { "path": "regulation/25", "kind": "regulation", "number": "25", "heading": "Procedure in exceptional cases", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-25", "extent": "E+W+S+N.I.", "status": "repealed", "parent": "part/3" }, { "path": "regulation/26", "kind": "regulation", "number": "26", "heading": "Effect of position limits established by the FCA ...", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-26", "extent": "E+W+S+N.I.", "status": null, "parent": "part/3" }, { "path": "regulation/27", "kind": "regulation", "number": "27", "heading": "FCA power to require information", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-27", "extent": null, "status": null, "parent": "part/3" }, { "path": "regulation/28", "kind": "regulation", "number": "28", "heading": "FCA power to intervene", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-28", "extent": "E+W+S+N.I.", "status": null, "parent": "part/3" }, { "path": "regulation/28A", "kind": "regulation", "number": "28A", "heading": "Cooperation with ESMA and other competent authorities in respect of interventions to restrict, reduce, or limit positions", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-28A", "extent": "E+W+S+N.I.", "status": "repealed", "parent": "part/3" }, { "path": "regulation/29", "kind": "regulation", "number": "29", "heading": "Interpretation of Part 3", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-29", "extent": "E+W+S+N.I.", "status": null, "parent": "part/3" }, { "path": "part/4", "kind": "part", "number": "4", "heading": "Algorithmic trading etc by members of trading venues covered by certain exemptions from the markets in financial instruments directive", "url": null, "extent": "E+W+S+N.I.", "status": null, "parent": null }, { "path": "regulation/30", "kind": "regulation", "number": "30", "heading": "Algorithmic trading", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-30", "extent": "E+W+S+N.I.", "status": null, "parent": "part/4" }, { "path": "regulation/31", "kind": "regulation", "number": "31", "heading": "Provision of information to the FCA concerning algorithmic trading", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-31", "extent": "E+W+S+N.I.", "status": null, "parent": "part/4" }, { "path": "regulation/32", "kind": "regulation", "number": "32", "heading": "Direct electronic 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"url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-35", "extent": "E+W+S+N.I.", "status": null, "parent": "part/4" }, { "path": "regulation/36", "kind": "regulation", "number": "36", "heading": "FCA power to impose requirements", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-36", "extent": null, "status": null, "parent": "part/4" }, { "path": "regulation/37", "kind": "regulation", "number": "37", "heading": "Interpretation of Part 4", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-37", "extent": "E+W+S+N.I.", "status": null, "parent": "part/4" }, { "path": "part/5", "kind": "part", "number": "5", "heading": "Removal of persons from the management board of an investment firm, credit institution, or recognised investment 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"https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-40", "extent": "E+W+S+N.I.", "status": null, "parent": "part/5" }, { "path": "part/6", "kind": "part", "number": "6", "heading": "Miscellaneous FCA functions in relation to the markets in financial instruments directive and markets in financial instruments regulation", "url": null, "extent": "E+W+S+N.I.", "status": null, "parent": null }, { "path": "regulation/41", "kind": "regulation", "number": "41", "heading": "Provision of FCA record of recognised investment exchanges to ESMA and other competent authorities", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-41", "extent": "E+W+S+N.I.", "status": "repealed", "parent": "part/6" }, { "path": "regulation/42", "kind": "regulation", "number": "42", "heading": "Provision of information to ESMA about multilateral trading 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null, "parent": null }, { "path": "regulation/48", "kind": "regulation", "number": "48", "heading": "Refund of fees by the Gambling Commission", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-48", "extent": null, "status": null, "parent": "part/7" }, { "path": "regulation/49", "kind": "regulation", "number": "49", "heading": "Administration and enforcement of the Regulations", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-49", "extent": null, "status": null, "parent": "part/7" }, { "path": "regulation/50", "kind": "regulation", "number": "50", "heading": "Amendments to legislation", "url": "https://openlegislation.uk/financial-services-and-markets-act-2000-markets-in-financial-instruments-regulations-2017/regulation-50", "extent": null, "status": null, "parent": "part/7" }, { "path": "regulation/51", "kind": 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