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The Financial Services and Markets Act 2000 (Recognition Requirements for Investment Exchanges , Clearing Houses and Central Securities Depositories ) Regulations 2001
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[F17B.—(1) The exchange must make transparent and non-discriminatory rules, based on objective criteria, governing access to, or membership of, its facilities.U.K.
(2) In particular those rules must specify the obligations for users or members of its facilities arising from—
(a)the constitution and administration of the exchange;
(b)rules relating to transactions on [F2its trading venues];
(c)its professional standards for staff of any investment firm or [F3qualifying credit institution] having access to or membership of a [F4trading venue] operated by the exchange;
(d)conditions established under sub-paragraph (3)(c) for access to or membership of a [F5trading venue] operated by the exchange by persons other than investment firms or [F3qualifying credit institution]s; and
(e)the rules and procedures for clearing and settlement of transactions concluded on a [F6trading venue] operated by the exchange.
F7(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F8(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(5) The exchange must make arrangements regularly to provide [F9the FCA] with a list of the users or members of its facilities.
(6) This paragraph is without prejudice to the generality of paragraph 4.]
Textual Amendments
F1Sch. paras. 7A-7E and cross-headings inserted (1.11.2007) by The Financial Services and Markets Act 2000 (Recognition Requirements for Investment Exchanges and Clearing Houses) (Amendment) Regulations 2006 (S.I. 2006/3386), regs. 1, 9
F2Words in Sch. para. 7B(2)(b) substituted (29.6.2017 for specified purposes, 3.7.2017 for specified purposes, 31.7.2017 for specified purposes, 3.1.2018 in so far as not already in force) by The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/701), reg. 1(2)(3)(4)(6), Sch. 3 para. 1(11)(a) (with reg. 7)
F3Words in Sch. para. 7B(2) substituted (31.12.2020) by The Investment Exchanges, Clearing Houses and Central Securities Depositories (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/662), regs. 1(3), 20(7)(a) (with savings in S.I. 2019/680, reg. 11 (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 40(f))); 2020 c. 1, Sch. 5 para. 1(1)
F4Words in Sch. para. 7B(2)(c) substituted (29.6.2017 for specified purposes, 3.7.2017 for specified purposes, 31.7.2017 for specified purposes, 3.1.2018 in so far as not already in force) by The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/701), reg. 1(2)(3)(4)(6), Sch. 3 para. 1(11)(b) (with reg. 7)
F5Words in Sch. para. 7B(2)(d) substituted (29.6.2017 for specified purposes, 3.7.2017 for specified purposes, 31.7.2017 for specified purposes, 3.1.2018 in so far as not already in force) by The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/701), reg. 1(2)(3)(4)(6), Sch. 3 para. 1(11)(b) (with reg. 7)
F6Words in Sch. para. 7B(2)(e) substituted (29.6.2017 for specified purposes, 3.7.2017 for specified purposes, 31.7.2017 for specified purposes, 3.1.2018 in so far as not already in force) by The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/701), reg. 1(2)(3)(4)(6), Sch. 3 para. 1(11)(b) (with reg. 7)
F7Sch. para. 7B(3) omitted (29.6.2017 for specified purposes, 3.7.2017 for specified purposes, 31.7.2017 for specified purposes, 3.1.2018 in so far as not already in force) by virtue of The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/701), reg. 1(2)(3)(4)(6), Sch. 3 para. 1(11)(c) (with reg. 7)
F8Sch. para. 7B(4) omitted (31.12.2020) by virtue of The Investment Exchanges, Clearing Houses and Central Securities Depositories (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/662), regs. 1(3), 20(7)(b) (with savings in S.I. 2019/680, reg. 11 (as amended by S.I. 2020/1301, regs. 1, 3, Sch. para. 40(f))); 2020 c. 1, Sch. 5 para. 1(1)
F9Words in Sch. Pt. 1 substituted (1.4.2013) by The Financial Services Act 2012 (Consequential Amendments and Transitional Provisions) Order 2013 (S.I. 2013/472), art. 1(1), Sch. 2 para. 36(d)(i)
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