Past version: effective from 21/10/2015 - 23/02/2020
To view other versions open the versions tab on the right
A Recognised Body must:
(a) operate an effective market surveillance program and appropriate measures to identify, monitor, deter and prevent conduct which may amount to market misconduct, financial crime and money laundering on and through the Recognised Body's facilities; and
(b) immediately report to the Regulator any suspected market misconduct, financial crime or money laundering, along with full details of that information in writing.