| Guvnor

Status: In Force
Penalty ceiling: Regulated

Does it bind you?

Business-side roles with duties under this instrument.

Financial Services Firm6

Other Acts binding the same actors

If a role above is yours, these are the other instruments that most often bind it.

Financial Services Firm — also bound by 167 other Acts

Commission Delegated Regulation (EU) No 231/2013 of 19 December 2012 supplementing Directive 2011/61/EU of the European Parliament and of the Council with regard to exemptions, general operating conditions, depositaries, leverage, transparency and supervision (Text with EEA relevance) 63 duties

Friendly Societies Act 1992 52 duties

Commission Delegated Regulation (EU) No 153/2013 of 19 December 2012 supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council with regard to regulatory technical standards on requirements for central counterparties (Text with EEA relevance) 52 duties

The Financial Services and Markets Act 2000 (Recognition Requirements for Investment Exchanges , Clearing Houses and Central Securities Depositories ) Regulations 2001 50 duties

The Credit Unions (Northern Ireland) Order 1985 43 duties

What it requires

Regulations creating concrete business duties or carrying penalties, grouped as the instrument is structured. Titles link to the source text — blue means you’re leaving for legislation.gov.uk.

s.art002 General requirements Regulated

Establish systems to monitor and report suspicious orders and transactionsFinancial Services Firm

s.art003 Prevention, monitoring and detection Regulated

Implement systems to prevent and detect market abuseFinancial Services Firm

s.art004 Training Regulated

Provide regular anti-market-abuse training to relevant staffFinancial Services Firm

s.art005 Reporting obligations Regulated

Set up systems to detect and report suspicious transactionsFinancial Services Firm

s.art006 Timing of STORs Regulated

Report suspicious transactions and orders without delayFinancial Services Firm

s.art008 Means of transmission Regulated

Submit STORs using the competent authority's specified electronic meansFinancial Services Firm

3 other provisions — procedural and definitional

s.art001 Definitions

s.art007 Content of STORs

s.art009 Entry into force

Duty extraction and severity labels are Guvnor’s analysis of the instrument, not the instrument itself. Always verify against the linked source text.