| Guvnor

Status: In Force
Penalty ceiling: Regulated

Does it bind you?

Business-side roles with duties under this instrument.

Trader1 Financial Services Firm1

Other Acts binding the same actors

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

Trader — also bound by 825 other Acts

Value Added Tax Regulations 1995 416 duties

Companies Act 2006 243 duties

The Large and Medium-sized Companies and Groups (Accounts and Reports) Regulations 2008 133 duties

Companies Act 1985 85 duties

Insolvency (England and Wales) Rules 2016 62 duties

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.art013 Obligation for systematic internalisers to make quotes easily accessible(Article 15(1) of Regulation (EU) No 600/2014) Regulated

Make your trading quotes easily accessible on your websiteTrader

s.art015 Orders considerably exceeding the norm(Article 17(2) of Regulation (EU) No 600/2014) Regulated

Pre-define order thresholds that pose undue riskFinancial Services Firm

23 other provisions — procedural and definitional

s.art001 Determining liquid markets for shares(Article 2(1)(17)(b) of Regulation (EU) No 600/2014)

s.art002 Determining liquid markets for depositary receipts(Article 2(1)(17)(b) of Regulation (EU) No 600/2014)

s.art003 Determining liquid markets for exchange traded funds(Article 2(1)(17)(b) of Regulation (EU) No 600/2014)

s.art004 Determining liquid markets for certificates(Article 2(1)(17)(b) of Regulation (EU) No 600/2014)

s.art005 Assessment of liquidity of equity instruments by the competent authorities(Article 2(1)(17)(b) of Regulation (EU) No 600/2014)

s.art006 Obligation to provide market data on a reasonable commercial basis(Article 13(1), 15(1) and 18(8) of Regulation (EU) No 600/2014)

s.art007 Obligation to provide market data on the basis of cost(Article 13(1), 15(1) and 18(8) of Regulation (EU) No 600/2014)

s.art008 Obligation to provide market data on a non-discriminatory basis(Article 13(1), 15(1) and 18(8) of Regulation (EU) No 600/2014)

s.art009 Obligations in relation to per user fees(Article 13(1), 15(1) and 18(8) of Regulation (EU) No 600/2014)

s.art010 Obligation to keep data unbundled and to disaggregate market data(Article 13(1), 15(1) and 18(8) of Regulation (EU) No 600/2014)

s.art011 Transparency obligation(Article 13(1), 15(1) and 18(8) of Regulation (EU) No 600/2014)

s.art012 Obligation for systematic internalisers to make quotes public on a regular and continuous basis during normal trading hours(Article 15(1) of Regulation (EU) No 600/2014)

s.art014 Execution of orders by systematic internalisers(Article 15(1), 15(2) and 15(3) of Regulation (EU) No 600/2014)

s.art016 Size specific to the instrument(Article 18(6) of Regulation (EU) No 600/2014)

s.art017 Elements of Portfolio compression(Article 31(4) of Regulation (EU) No 600/2014)

s.art018 Publication requirements for Portfolio compression(Article 31(4) of Regulation (EU) No 600/2014)

s.art019 Criteria and factors for the purposes of ESMA temporary product intervention powers(Article 40(2) of Regulation (EU) No 600/2014)

s.art020 Criteria and factors for the purposes of EBA temporary product intervention powers(Article 41(2) of Regulation (EU) No 600/2014)

s.art021 Criteria and factors to be taken into account by the FCA for the purposes of product intervention powers(Article 42(2) of Regulation (EU) No 600/2014)

s.art022 Position management powers of ESMA(Article 45 of Regulation (EU) No 600/2014)

s.art023 Transitional provisions

s.art024 Entry into Force

s.art.a1 Interpretation

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