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

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  2. Point in time
    2024-12-18

Preamble

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CHAPTER I AUTHORISATION (Article 61(2) of Directive 2014/65/EU)

Article -2 Application

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Article -1 Interpretation

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Article 1 Information to the competent authority

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Article 2 Information on the organisation

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Article 3 Corporate governance

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Article 4 Information on the members of the management body

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CHAPTER II ORGANISATIONAL REQUIREMENTS (Article 64(3), (4) and (5), Article 65(4), (5) and (6), and Article 66(2), (3) and (4) of Directive 2014/65/EU)[revoked]

Article 5 Conflicts of interest

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Article 6 Organisational requirements regarding outsourcing

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Article 7 Business continuity and back-up facilities

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Article 8 Testing and capacity

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Article 9 Security

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Article 10 Management of incomplete or potentially erroneous information by APAs and CTPs

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Article 11 Management of incomplete or potentially erroneous information by ARMs

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Article 12 Connectivity of ARMs

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Article 13 Other services provided by CTPs

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Article 15 Scope of the consolidated tape for shares, depositary receipts, ETFs, certificates and other similar financial instruments

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Article 15a Scope of the consolidated tape for bonds, structured finance products, emission allowances and derivatives

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Article 16 Identification of original and duplicative trade reports in shares, depositary receipts, ETFs, certificates and other similar financial instruments

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Article 17 Publication of original reports in shares, depositary receipts, ETFs, certificates and other similar financial instruments

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Article 18 Details to be published by the APA

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Article 19 Non-discrimination

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Article 20 Details to be published by the CTP

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Article 21 Entry into force and application

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Signature

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