Related provisions for REC 2.14.1
1 - 3 of 3 items.
Schedule to the Recognition Requirements Regulations, paragraphs 3 – 3H4Paragraph 3 – Systems and controls4(1)The [UK RIE] must ensure that the systems and controls, including procedures and arrangements,4 used in the performance of its functions and the functions of the trading venues it operates are adequate, effective4 and appropriate for the scale and nature of its business.(2)Sub-paragraph (1) applies in particular to systems and controls concerning - (a)the transmission
Location of recognition requirements and guidanceRecognition Requirements RegulationsSubjectSection in REC 2/other parts of the Handbook5Regulation 6Method of satisfying recognition requirements2.2Part I of the ScheduleUK RIE recognition requirementsParagraph 1Financial resources2.3Paragraph 2Suitability2.45Paragraphs 2A and 2BManagement Body2.4AParagraphs 3, 3A, 3B, 3C, 3D, 3E, 3G and 3H5Systems and controls, market making agreements, halting trading, direct electronic access,