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- FSA Handbook of Rules and Guidance
- Contents
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- Approved Persons Regime
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- SUP 10 Approved persons
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- Approved Persons Regime - summary of forms and their use
- SUP 10.4 Specification of functions
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- FiSMA Part V Performance of regulated activities
- BCOBS Banking Conduct of Business
- BIPRU Prudential sourcebook for Banks, Building Societies and Investment Firms
- BIPRU 13.3 Calculation of exposure values
- CASS Client Assets
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- COBS New Conduct of Business sourcebook
- COLL New Collective Investment Schemes
- COMP Compensation
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- ELM Electronic Money
- FEES Fees Manual
- FIT The Fit and Proper Test for Approved Persons
- GEN General Provisions
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- ICOBS Insurance: Conduct of Business
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- IPRU-FSOC Interim Prudential sourcebook for Friendly Societies
- IPRU-INS Interim Prudential sourcebook for Insurance
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- LR Listing Rules
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- PR Prospectus Rules
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- PROF Professional Firms
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- TC Training and Competence
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- Eligible Assets Directive
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- Legislation (Acts & SIs)
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- Income and Corporation Taxes Act 1988
- Income Tax Act 2007
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- Investment Exchanges and Clearing Houses Act 2006
- Land Registration Act 2002
- Law of Property Act 1925
- Limited Liability Partnerships Act 2000
- Powers of Attorney Act 1971
- Proceeds of Crime Act 2002
- Regulation of Financial Services (Land Transactions) Act 2005
- Sarbanes-Oxley Act of 2002
- Serious Organised Crime and Police Act 2005
- Taxation of Chargeable Gains Act 1992
- Terrorism Act 2000
- Terrorism Act 2006
- Trustee Act 1925
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- Trustee Investments Act 1961
- Trusts of Land and Appointment of Trustees Act 1996
- Unit Trust Records Regulations 1946
- Welfare Reform and Pensions Act 1999
- Statutory Instruments (SIs)
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- Trustee Act 2000
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- Data Protection Act 1998
- Case Law - BAILII
- Europe
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- FSA Handbook of Rules and Guidance
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- PricewaterhouseCoopers: news releases
- Manual Watch List Checking
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- 3d Anti Money Laundering
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- 2nd Money Laundering Directive (2001/97/EEC)
- 3rd Money Laundering Directive (2005/60/EEC)
- European ML Directives - Versions held within 3d
- FATF Financial Action Task Force
- SOCA The Serious Organised Crime Agency
- Terrorism Act 2000
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- ML Guidance - Versions held within 3d
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© 3d Investments Ltd 2012
European Directives
COMMISSION REGULATION (EC) No 1287/2006 of 10 August 2006 implementing Directive 2004/39/EC of the European Parliament and of the Council as regards record-keeping obligations for investment firms, transaction reporting, market transparency, admission of financial instruments to trading, and defined terms for the purposes of that Directive
Official Journal of the European Union 2.9.2006 L 241/1
I (Acts whose publication is obligatory) (Text with EEA relevance)
The MiFID Regulation
IN FORCE FROM 22 SEPTEMBER 2006
CHAPTER I GENERAL (Articles 1-6)
CHAPTER II RECORD-KEEPING: CLIENT ORDERS AND TRANSACTIONS (Articles 7-8)
CHAPTER III TRANSACTION REPORTING (Articles 9-16)
CHAPTER IV MARKET TRANSPARENCY
SECTION 1 Pre-trade transparency for regulated markets and MTFs (Articles 17-20)
SECTION 2 Pre-trade transparency for systematic internalisers (Articles 21-26)
SECTION 3 Post-trade transparency for regulated markets, MTFs and investment firms (Articles 27-28)
SECTION 4 Provisions common to pre- and po
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