Related provisions for PERG 8.33.3

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To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

MAR 10.4.5DRP
(1) 1This direction applies to:(a) a UK firm operating a multilateral trading facility or an OTF; and (b) a UK branch of a third country investment firm operating a multilateral trading facility or an OTF.(2) A firm shall report to the FCA: (a) (where it meets the minimum threshold as specified in MAR 10.4.3AR5) the weekly report in5 the form set out in MAR 10 Annex 3R5, and publish it on its website; and3(b) in respect of the daily report referred to in MAR 10.4.3R(3): (i)
SYSC 5.1.5AEGRP
(1) 11The FCA expects a firm to act consistently with the ESMA guidelines referred to in SYSC 5.1.5ADG in relation to its MiFID or equivalent third country business.(2) The FCA is required to publish various information on its website in relation to firms’ assessment of relevant individuals’ knowledge and competence. That information can be found at https://www.fca.org.uk/firms/training-competence(3) A firm to which the Training and Competence sourcebook (TC) applies may satisfy