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    2019-04-02

MAR 5A.1 Application

Who and what?

MAR 5A.1.1RRP

1This chapter applies to:

  1. (1)

    a UK domestic firm which operates an OTF from an establishment in the United Kingdom or elsewhere; or

  2. (2)

    an overseas firm which operates an OTF from an establishment in the United Kingdom.

MAR 5A.1.2GRP

1In addition:

  1. (1)

    In accordance with paragraph 15(9) of the Schedule to the Recognition Requirement Regulations and REC 2.16A.1GR, MAR 5A.3.9R applies to a UK RIE as though it was an investment firm.

  2. (2)

    GEN 2.2.22AR applies to ensure that a third country investment firm should not be treated in a more favourable way than an EEA firm.