| 9.1 | Continuing obligations under the MiFID Regulation |
| 9.1.1 | R | (1) | If the condition in (2) is met, SUP TP 9 applies in respect of an obligation or requirement in, or under, the following with which a firm must comply: |
| | | | (a) | the MiFID Regulation; or |
| | | | (b) | a rule under SUP 17 (Transaction reporting). |
| | | (2) | As at 2 January 2018, a firm is under an obligation or requirement to comply, or to have complied, with a provision referred to in (1) in the version in force on that date. |
| 9.1.2 | R | A firm remains obliged to comply with the obligation, requirement or rule referred to in SUP TP 9.1.1R(1)(a) and (b) until such time as effective compliance is achieved. |
| 9.1.3 | R | SUP 15 (Notifications to the FCA) continues to apply in respect of a breach of a requirement or a rule referred to in SUP TP 9.1.1R. |
| | Purpose |
| 9.1.4 | G | The purpose of SUP TP 9.1.1R is to ensure that, as appropriate, firms: |
| | | (1) | comply with the provisions of the MiFID Regulation and SUP 17 (as at 2 January 2018); and |
| | | (2) | notify and remedy breaches of these provisions whenever those breaches come to light, |
| | | notwithstanding the repeal of the MiFID Regulation on 3 January 2018. |
