Reset to Today

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004.

Content Options:

Add to favourites

View Options:

More Resources:

External link Handbook Publications

You are viewing the version of the document as on 2024-07-29.

Timeline guidance

REC 3.25 Significant breaches of rules and disorderly trading conditions

REC 3.25.1RRP

1A UK RIE 5 and a RAP6 must immediately notify the FCA 3of:

23
  1. (1)

    significant breaches of its rules; or

  2. (2)

    disorderly trading conditions on any of its marketsor auctions; or4

    2
  3. (3)

    4conduct that may indicate behaviour prohibited under the Market Abuse Regulation; or

  4. (4)

    4system disruptions in relation to a financial instrument.

[Note:article 31(2)4, first sentence (part) andarticle 54(2)4, first sentence (part) of MiFID. The rest of article 31(2)4, first sentence (in so far as it relates to market operators operating an MTF or OTF4) and article 54(2)4, first sentence of MiFID is implemented by REC 3.21.1 R (2)]