SUP 17A.1 Application

This chapter applies to:

1. (1)

   a MiFID investment firm (excluding a collective portfolio management investment firm) which:

   1. (a)

      executes transactions in a reportable financial instrument; and

   2. (b)

      is required under article 26(1) of MiFIR to report its transactions to the FCA;

2. (2)

   an operator of a trading venue:

   1. (a)

      through whose systems and platforms a transaction in a reportable financial instrument is executed by a person not subject to MiFIR; and

   2. (b)

      which is required under article 26(5) of MiFIR to report such transactions to the FCA;

3. (3)

   a third country investment firm which executes transactions in a reportable financial instrument; and

4. (4)

   a systematic internaliser or an operator of a trading venue which is required under article 27 of MiFIR to supply identifying reference data relating to financial instruments traded on its system or trading venue to the FCA.

[Note: article 26 of MiFIR and MiFID RTS 22 contain requirements regarding transaction reporting that are directly applicable to a firm in SUP 17A.1.1R(1) or (2), and to an ARM or an operator of a trading venue which acts on behalf of a MiFID investment firm subject to article 26(1) of MiFIR]