Schedule 3, paragraph 1(7)

In paragraph 4 of the Schedule (safeguards for investors), in sub-paragraph (2)— in paragraph (aa) omit “and non-discretionary”; in paragraph (ea) in both places for “financial markets” substitute “ trading venues ”; in paragraph (f) omit “(including the monitoring of transactions effected on the exchange)”; after paragraph (f) omit “and” and insert— it immediately reports to the FCA any significant breaches of its rules or disorderly trading conditions or conduct that may indicate behaviour which is prohibited under the market abuse regulation or system disruptions in relation to a financial instrument; and

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Source: legislation.gov.uk · retrieved 2026-09-04