![]() Quotations from UK 5 statute or statutory instruments are marked with the letters "UK" 5 unless they form part of a piece of guidance. Most of the provisions in this sourcebook are marked with a G (to indicate guidance) or an R (to indicate a rule). The fees rules for recognised bodies and applicants are set out in 1 FEES 1, 2, 3 and 4 1. The recognition requirements, notification rules, and guidance for ROIEs 4 and guidance for applicants (and potential applicants) for ROIE 4 status are set out in REC 6. Guidance for applicants (and potential applicants) for UK recognised body status is given in REC 5. Guidance on the FCA's 4 approach to the supervision of recognised bodies is given in REC 4. The notification rules for UK recognised bodies are set out in REC 3 together with guidance on those rules. ![]() Key relevant MiFID/MiFIR requirements directly applicable to UK recognised bodies are signposted as “ Notes”. ![]() 6 The RAP recognition requirements (other than requirements under the UK auctioning regulations which are not reproduced in REC) are set out, with guidance, in REC 2A. The recognition requirements for UK recognised bodies 5are set out, with guidance, in REC 2. Notification requirements in, and notification rules made under, sections 293 (Notification requirements) and 295 (Notification: overseas investment exchanges and clearing houses) of the Act and 5Īny rules made under the FCA’s rule-making power in regulation 11 of the Recognition Requirements Regulations. UK RIEs 4 must also comply with the following: 5 4 7 ROIEs 4 must satisfy recognition requirements laid down in section 292 of the Act (Overseas investment exchanges and overseas clearing houses). 2 6 RAPs must satisfy the recognition requirements prescribed by the Treasury in the RAP regulations, under the UK auctioning regulations and must also be UK RIEs and so are subject to the MiFID/MiFIR requirements. UK RIEs must also satisfy the MiFID/MiFIR requirements 7. UK RIEs 4 must satisfy recognition requirements prescribed by the Treasury (in certain cases with the approval of the Secretary of State) in the Recognition Requirements Regulations. UK RIEs 4 are exempt persons under section 285 of the Act (Exemption for recognised investment exchanges and clearing houses). If you do not allow these cookies, you will experience less targeted advertising.įind out more about or view our cookie policy. They do not store directly information which allows us to identify you personally but are based on uniquely identifying your browser and internet device. They may be used by those companies to build a profile of your interests and show you relevant adverts on other sites. These cookies may be set through our site by our advertising partners. If you do not allow these cookies then some or all of these services may not function properly. They may be set by us or by third party providers whose services we have added to our pages. These cookies enable the website to provide enhanced functionality and personalisation. ![]() If you do not allow these cookies we will not know when you have visited our site and will not be able to monitor its performance. ![]() All information these cookies collect is aggregated and therefore anonymous. They help us to know which pages are the most and least popular and see how visitors move around the site. These cookies allow us to count visits and traffic sources so we can measure and improve the performance of our site. These cookies do not store any information which allows us to identify you unless you are logged into your account. You can set your browser to block or alert you about these cookies, but some parts of the site will not then work. They are usually only set in response to actions made by you which amount to a request for services, such as setting your privacy preferences, logging in or filling in forms. These cookies are necessary for the website to function and cannot be switched off in our systems. Check your settings below and select the cookies you’re happy with. ![]()
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