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You are viewing the version of the document as on 2022-12-01.

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    2022-12-01

MAR 5A.7 Monitoring compliance with the rules of the OTF

MAR 5A.7.1RRP

1A firm must:

  1. (1)

    have effective arrangements and procedures relevant to its OTF for the regular monitoring of the compliance by its users with its rules; and

  2. (2)

    monitor the transactions undertaken by its users under its systems in order to identify breaches of those rules, disorderly trading conditions, system disruptions in relation to a financial instrument, or conduct that may involve market abuse.

[Note: article 31(1) of MiFID]