Regulation (EU) No 596/2014 of the European Parliament and of the Council of 16 April 2014 on market abuse (market abuse regulation) and repealing Directive 2003/6/EC of the European Parliament and of the Council and Commission Directives 2003/124/EC, 2003/125/EC and 2004/72/EC (Text with EEA relevance)
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Regulation (EU) No 596/2014 of the European Parliament and of the Council, Article 4 is up to date with all changes known to be in force on or before 15 March 2025. There are changes that may be brought into force at a future date. Changes that have been made appear in the content and are referenced with annotations.
1.Market operators of [F1UK] regulated markets and investment firms and market operators operating [F2a UK MTF or a UK OTF] shall, without delay, notify the [F3FCA] of any financial instrument for which a request for admission to trading on their trading venue is made, which is admitted to trading, or which is traded for the first time.
They shall also notify the [F4FCA] when a financial instrument ceases to be traded or to be admitted to trading, unless the date on which the financial instrument ceases to be traded or to be admitted to trading is known and was referred to in the notification made in accordance with the first subparagraph.
Notifications referred to in this paragraph shall include, as appropriate, the names and identifiers of the financial instruments concerned, and the date and time of the request for admission to trading, admission to trading, and the date and time of the first trade.
F5...
[F62.The FCA shall publish notifications received under paragraph 1 on its website in the form of a list without delay. The FCA shall update that list without delay following receipt of a notification received under paragraph 1. The list shall not limit the scope of this Regulation.]
3.The list shall contain the following information:
(a)the names and identifiers of financial instruments which are the subject of a request for admission to trading, admitted to trading or traded for the first time, on [F7UK regulated markets, UK MTFs and UK OTFs];
(b)the dates and times of the requests for admission to trading, of the admissions to trading, or of the first trades;
(c)details of the [F8UK trading venues] on which the financial instruments are the subject of a request for admission to trading, admitted to trading or traded for the first time; and
(d)the date and time at which the financial instruments cease to be traded or to be admitted to trading.
[F94.The FCA may make technical standards specifying—
(athe content of the notifications referred to in paragraph 1;
(bthe manner and conditions of the compilation, publication and maintenance of the list referred to in paragraph 2.
5.The FCA may make technical standards specifying the timing, format and template of the submission of notifications under paragraph 1.]
Textual Amendments
F1Word in Art. 4(1) inserted (31.12.2020) by The Market Abuse (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/310), regs. 1(3), 10(4)(a)(i)(aa); 2020 c. 1, Sch. 5 para. 1(1)
F2Words in Art. 4(1) substituted (31.12.2020) by The Market Abuse (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/310), regs. 1(3), 10(4)(a)(i)(bb); 2020 c. 1, Sch. 5 para. 1(1)
F3Word in Art. 4(1) substituted (31.12.2020) by The Market Abuse (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/310), regs. 1(3), 10(4)(a)(i)(cc); 2020 c. 1, Sch. 5 para. 1(1)
F4Word in Art. 4(1) substituted (31.12.2020) by The Market Abuse (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/310), regs. 1(3), 10(4)(a)(ii); 2020 c. 1, Sch. 5 para. 1(1)
F5Words in Art. 4(1) omitted (31.12.2020) by virtue of The Market Abuse (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/310), regs. 1(3), 10(4)(a)(iii); 2020 c. 1, Sch. 5 para. 1(1)
F6Art. 4(2) substituted (31.12.2020) by The Market Abuse (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/310), regs. 1(3), 10(4)(b); 2020 c. 1, Sch. 5 para. 1(1)
F7Words in Art. 4(3)(a) substituted (31.12.2020) by The Market Abuse (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/310), regs. 1(3), 10(4)(c)(i); 2020 c. 1, Sch. 5 para. 1(1)
F8Words in Art. 4(3)(c) substituted (31.12.2020) by The Market Abuse (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/310), regs. 1(3), 10(4)(c)(ii); 2020 c. 1, Sch. 5 para. 1(1)
F9Art. 4(4)(5) substituted (31.12.2020) by The Market Abuse (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/310), regs. 1(3), 10(4)(d); 2020 c. 1, Sch. 5 para. 1(1)
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