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The Recognised Auction Platforms Regulations 2011

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Dyma’r fersiwn wreiddiol (fel y’i gwnaed yn wreiddiol).

Regulation 7

SCHEDULE 2Modifications of Part 18 of the Act in relation to recognised auction platforms

This Atodlen has no associated Memorandwm Esboniadol

1.  In section 285(2), reference to the exchange’s business as an investment exchange includes a reference to its business as an auction platform.

2.  In section 291(3), reference to the obligations to which the body is subject under or by virtue of the Act is to be read as including a reference to the obligations to which it is subject under these Regulations or under the emission allowance auctioning regulation.

3.  In section 292A(1)—

(a)in subsection (1) reference to a recognition order is to be read as including a reference to a recognition order under regulation 2 of these Regulations;

(b)in subsections (2) and (4) references to the management of the exchange are to be read as including references to the management of the auction platform.

4.  In section 293, in subsection (6)(a), reference to transactions effected on the exchange is to be read as including a reference to transactions effected on the auction platform.

5.  In section 293A(2), reference to any directly applicable Community regulation made under the markets in financial instruments directive is to be read as including a reference to any requirements under the emission allowance auctioning regulation to which the recognised investment exchange is subject as the operator of an auction platform.

6.  In section 299(2), reference to whether the body concerned should remain a recognised body is to be read as including whether it should remain a recognised auction platform.

7.  In section 300—

(a)in subsection (1)(a), reference to a recognition order under section 290 is to be read as including a reference to a recognition order under regulation 2 of these Regulations;

(b)in subsection (4), reference to the rules of an investment exchange is to be read as including a reference to rules made in relation to an auction platform.

8.  In section 301F(4), reference to any financial market operated by the recognised investment exchange is to be read as including a reference to any auction platform operated by it.

9.  Sections 290A, 300A to 300E, and sections 302 to 310 do not apply to a recognised investment exchange in its capacity as a recognised auction platform.

(1)

Section 292A was inserted by S.I. 2007/126, regulation 3(2), Schedule 2, paragraphs 1 and 5.

(2)

Section 293A was inserted by S.I. 2007/126, Schedule 2, paragraphs 1 and 6.

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