{
  "url": "https://openlegislation.uk/recognised-auction-platforms-regulations-2011",
  "json_url": "https://openlegislation.uk/recognised-auction-platforms-regulations-2011.json",
  "id": "uksi/2011/2699",
  "title": "The Recognised Auction Platforms Regulations 2011",
  "short_title": "Recognised Auction Platforms 2011",
  "long_title": "These Regulations implement the obligations in Articles 35, 36 and 43 of Commission Regulation (EU) 1031/2010 of 12 November 2010 on the timing, administration and other aspects of auctioning of greenhouse gas emission allowances (OJ L 302/1, 18.11.2010) (“the emission allowance auctioning regulation”) to ensure that UK law implementing provisions of the Directive 2004/39/EC of the European Parliament and of the Council on markets in financial instruments of 21 April 2004 (OJ L 145, 20.4.2004, p1) in relation to regulated markets, and of Directive 2003/6/EC of the European Parliament and of the Council on insider dealing and market manipulation of 28 January 2003 (OJ L 96, 12.4.2003, p16), and EU measures on money laundering and terrorist financing apply to auction platforms auctioning emission allowances under the emission allowance auctioning regulation.",
  "citation": "S.I. 2011/2699",
  "type": "uksi",
  "year": "2011",
  "number": "2699",
  "version": "current",
  "date": "2011-11-10",
  "revised": true,
  "valid_from": "2023-07-11",
  "extent": "E+W+S+N.I.",
  "unapplied_effects": 2,
  "provisions": [
    {
      "path": "introduction",
      "kind": "introduction",
      "number": null,
      "heading": "Introductory text",
      "url": "https://openlegislation.uk/recognised-auction-platforms-regulations-2011/introduction",
      "extent": null,
      "status": null,
      "parent": null
    },
    {
      "path": "part/1",
      "kind": "part",
      "number": "1",
      "heading": "General",
      "url": null,
      "extent": null,
      "status": null,
      "parent": null
    },
    {
      "path": "regulation/1",
      "kind": "regulation",
      "number": "1",
      "heading": "Citation, commencement and interpretation",
      "url": "https://openlegislation.uk/recognised-auction-platforms-regulations-2011/regulation-1",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/1"
    },
    {
      "path": "part/2",
      "kind": "part",
      "number": "2",
      "heading": "Recognised Auction Platforms",
      "url": null,
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "regulation/2",
      "kind": "regulation",
      "number": "2",
      "heading": "Recognition orders",
      "url": "https://openlegislation.uk/recognised-auction-platforms-regulations-2011/regulation-2",
      "extent": null,
      "status": null,
      "parent": "part/2"
    },
    {
      "path": "regulation/3",
      "kind": "regulation",
      "number": "3",
      "heading": "Authority's power to give directions",
      "url": "https://openlegislation.uk/recognised-auction-platforms-regulations-2011/regulation-3",
      "extent": null,
      "status": null,
      "parent": "part/2"
    },
    {
      "path": "regulation/4",
      "kind": "regulation",
      "number": "4",
      "heading": "Revoking recognition",
      "url": "https://openlegislation.uk/recognised-auction-platforms-regulations-2011/regulation-4",
      "extent": null,
      "status": null,
      "parent": "part/2"
    },
    {
      "path": "regulation/5",
      "kind": "regulation",
      "number": "5",
      "heading": "Procedure",
      "url": "https://openlegislation.uk/recognised-auction-platforms-regulations-2011/regulation-5",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/2"
    },
    {
      "path": "regulation/5A",
      "kind": "regulation",
      "number": "5A",
      "heading": "Power to impose civil penalties",
      "url": "https://openlegislation.uk/recognised-auction-platforms-regulations-2011/regulation-5A",
      "extent": null,
      "status": null,
      "parent": "part/2"
    },
    {
      "path": "regulation/5B",
      "kind": "regulation",
      "number": "5B",
      "heading": "Procedure for civil penalties",
      "url": "https://openlegislation.uk/recognised-auction-platforms-regulations-2011/regulation-5B",
      "extent": null,
      "status": null,
      "parent": "part/2"
    },
    {
      "path": "regulation/5C",
      "kind": "regulation",
      "number": "5C",
      "heading": null,
      "url": "https://openlegislation.uk/recognised-auction-platforms-regulations-2011/regulation-5C",
      "extent": null,
      "status": null,
      "parent": "part/2"
    },
    {
      "path": "regulation/6",
      "kind": "regulation",
      "number": "6",
      "heading": "Market abuse regime applicable from July 2016 to January 2018 in relation to auctioned products other than financial instruments",
      "url": "https://openlegislation.uk/recognised-auction-platforms-regulations-2011/regulation-6",
      "extent": "E+W+S+N.I.",
      "status": "repealed",
      "parent": "part/2"
    },
    {
      "path": "regulation/7",
      "kind": "regulation",
      "number": "7",
      "heading": "Application of certain provisions of the Act with modifications",
      "url": "https://openlegislation.uk/recognised-auction-platforms-regulations-2011/regulation-7",
      "extent": null,
      "status": null,
      "parent": "part/2"
    },
    {
      "path": "regulation/8",
      "kind": "regulation",
      "number": "8",
      "heading": "Application of Chapter 3A of Part 18 of the Act with modifications",
      "url": "https://openlegislation.uk/recognised-auction-platforms-regulations-2011/regulation-8",
      "extent": null,
      "status": "repealed",
      "parent": "part/2"
    },
    {
      "path": "part/3",
      "kind": "part",
      "number": "3",
      "heading": "The Authority",
      "url": null,
      "extent": null,
      "status": null,
      "parent": null
    },
    {
      "path": "regulation/9",
      "kind": "regulation",
      "number": "9",
      "heading": "Functions of the Authority",
      "url": "https://openlegislation.uk/recognised-auction-platforms-regulations-2011/regulation-9",
      "extent": null,
      "status": null,
      "parent": "part/3"
    },
    {
      "path": "part/4",
      "kind": "part",
      "number": "4",
      "heading": "Amendments to secondary legislation",
      "url": null,
      "extent": null,
      "status": null,
      "parent": null
    },
    {
      "path": "regulation/10",
      "kind": "regulation",
      "number": "10",
      "heading": "Amendment of the Financial Services and Markets Act 2000 (Prescribed Markets and Qualifying Investments) Order 2001",
      "url": "https://openlegislation.uk/recognised-auction-platforms-regulations-2011/regulation-10",
      "extent": "E+W+S+N.I.",
      "status": "repealed",
      "parent": "part/4"
    },
    {
      "path": "regulation/11",
      "kind": "regulation",
      "number": "11",
      "heading": "Amendment of the Money Laundering Regulations 2007",
      "url": "https://openlegislation.uk/recognised-auction-platforms-regulations-2011/regulation-11",
      "extent": null,
      "status": "repealed",
      "parent": "part/4"
    },
    {
      "path": "part/5",
      "kind": "part",
      "number": "5",
      "heading": "Auction Recognition Requirements",
      "url": null,
      "extent": null,
      "status": null,
      "parent": null
    },
    {
      "path": "regulation/12",
      "kind": "regulation",
      "number": "12",
      "heading": "Interpretation",
      "url": "https://openlegislation.uk/recognised-auction-platforms-regulations-2011/regulation-12",
      "extent": null,
      "status": null,
      "parent": "part/5"
    },
    {
      "path": "regulation/13",
      "kind": "regulation",
      "number": "13",
      "heading": "Method of satisfying auction recognition requirements",
      "url": "https://openlegislation.uk/recognised-auction-platforms-regulations-2011/regulation-13",
      "extent": null,
      "status": null,
      "parent": "part/5"
    },
    {
      "path": "regulation/14",
      "kind": "regulation",
      "number": "14",
      "heading": "Financial resources",
      "url": "https://openlegislation.uk/recognised-auction-platforms-regulations-2011/regulation-14",
      "extent": null,
      "status": null,
      "parent": "part/5"
    },
    {
      "path": "regulation/15",
      "kind": "regulation",
      "number": "15",
      "heading": "Suitability",
      "url": "https://openlegislation.uk/recognised-auction-platforms-regulations-2011/regulation-15",
      "extent": null,
      "status": null,
      "parent": "part/5"
    },
    {
      "path": "regulation/16",
      "kind": "regulation",
      "number": "16",
      "heading": "Systems and controls",
      "url": "https://openlegislation.uk/recognised-auction-platforms-regulations-2011/regulation-16",
      "extent": null,
      "status": null,
      "parent": "part/5"
    },
    {
      "path": "regulation/17",
      "kind": "regulation",
      "number": "17",
      "heading": "Safeguards for investors",
      "url": "https://openlegislation.uk/recognised-auction-platforms-regulations-2011/regulation-17",
      "extent": null,
      "status": null,
      "parent": "part/5"
    },
    {
      "path": "regulation/18",
      "kind": "regulation",
      "number": "18",
      "heading": "Promotion and maintenance of standards",
      "url": "https://openlegislation.uk/recognised-auction-platforms-regulations-2011/regulation-18",
      "extent": null,
      "status": null,
      "parent": "part/5"
    },
    {
      "path": "regulation/19",
      "kind": "regulation",
      "number": "19",
      "heading": "Rules and consultation",
      "url": "https://openlegislation.uk/recognised-auction-platforms-regulations-2011/regulation-19",
      "extent": null,
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      "parent": "part/5"
    },
    {
      "path": "regulation/20",
      "kind": "regulation",
      "number": "20",
      "heading": "Access to auctions",
      "url": "https://openlegislation.uk/recognised-auction-platforms-regulations-2011/regulation-20",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/5"
    },
    {
      "path": "regulation/21",
      "kind": "regulation",
      "number": "21",
      "heading": "Choice of settlement facilities",
      "url": "https://openlegislation.uk/recognised-auction-platforms-regulations-2011/regulation-21",
      "extent": null,
      "status": null,
      "parent": "part/5"
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    {
      "path": "regulation/22",
      "kind": "regulation",
      "number": "22",
      "heading": "Discipline",
      "url": "https://openlegislation.uk/recognised-auction-platforms-regulations-2011/regulation-22",
      "extent": null,
      "status": null,
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    {
      "path": "regulation/23",
      "kind": "regulation",
      "number": "23",
      "heading": "Complaints",
      "url": "https://openlegislation.uk/recognised-auction-platforms-regulations-2011/regulation-23",
      "extent": null,
      "status": null,
      "parent": "part/5"
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    {
      "path": "part/6",
      "kind": "part",
      "number": "6",
      "heading": "Review",
      "url": null,
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    },
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      "path": "regulation/24",
      "kind": "regulation",
      "number": "24",
      "heading": "Review",
      "url": "https://openlegislation.uk/recognised-auction-platforms-regulations-2011/regulation-24",
      "extent": null,
      "status": null,
      "parent": "part/6"
    },
    {
      "path": "signature",
      "kind": "signature",
      "number": null,
      "heading": "Signature",
      "url": "https://openlegislation.uk/recognised-auction-platforms-regulations-2011/signature",
      "extent": null,
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    },
    {
      "path": "schedule/1",
      "kind": "schedule",
      "number": "1",
      "heading": "Modifications of the Act for the purposes of Articles 37 to 43 of the emission allowance auctioning regulation",
      "url": null,
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    {
      "path": "schedule/1/paragraph/1",
      "kind": "paragraph",
      "number": "1",
      "heading": "The Authority's powers",
      "url": "https://openlegislation.uk/recognised-auction-platforms-regulations-2011/schedule-1/paragraph-1",
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    {
      "path": "schedule/1/paragraph/2",
      "kind": "paragraph",
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      "heading": "Modifications of Part 8 of the Act",
      "url": "https://openlegislation.uk/recognised-auction-platforms-regulations-2011/schedule-1/paragraph-2",
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