{ "node": "uk-cm-kg", "door": "https://mcp.uk-cm-kg.ai", "market": "uk", "jurisdiction_namespace": "uk-eco-10060", "chapter": "uk.chapter.v21", "source": "Book of Markets mirror (allooloocmkgapex/book), read at request time", "kind": "book-section", "family": "ECO", "version": "uk.eco.v3", "supersedes": "uk.eco.v2", "book_path": "uk/sections/uk.eco.v3.json", "book_sha256": "sha256:aceeae9c13720c77b021b52a991fdf35c8be2871bb83a6013af7c4d49abee09f", "section": { "section_id": "book:uk:eco", "family": "ECO", "schema": "SM-ECO-10060 canonical text v1.0 (2026-10-30) · chapter schema v0.1 (unratified) · Appendix A", "schema_version": "0.1", "version": "uk.eco.v3", "supersedes": "uk.eco.v2", "market": "uk", "node": "uk-cm-kg", "produced_at": "2026-10-31T02:16:01Z", "observed": { "earliest_read": "2026-10-23", "latest_read": "2026-10-31T02:15:53Z" }, "fields": [ { "name": "jurisdiction_scope", "value": { "territory": "United Kingdom", "PROD 3": "applies to a firm with respect to activities carried on from an establishment maintained by it, or its appointed representative, in the United Kingdom; also applies to activities from an establishment overseas with a client in the United Kingdom, except where the activity would fall within the overseas persons exclusions in article 72 of the Regulated Activities Order or would not be regarded as being carried on in the United Kingdom", "PROD 4": "applies to activities carried on from an establishment maintained by it, or its appointed representative: (for all insurance products and pathway investments) in the United Kingdom; and (in addition, for non-investment insurance products) overseas, in relation to an insurance product that is, or will be, marketed or distributed, or there are policies under the product that remain in force, in the United Kingdom", "Gibraltar": "a reference to Gibraltar-based firm in PROD has the same meaning as in the Gibraltar Order" }, "read_at": "2026-10-31T01:50:32Z", "pages_checked": [ "https://api-handbook.fca.org.uk/files/sourcebook/PROD.pdf", "https://handbook.fca.org.uk/handbook/prod1", "https://handbook.fca.org.uk/handbook/prod1/prod1s7", "https://handbook.fca.org.uk/handbook/prod1/prod1s4", "https://www.fca.org.uk/", "https://handbook.fca.org.uk/handbook?entityId=prod", "https://mcp.getissuer.ai/mcp", "https://handbook.fca.org.uk/handbook/prod4", "https://handbook.fca.org.uk/handbook/prod8", "https://handbook.fca.org.uk/guides/reader-guide" ], "source_url": "https://api-handbook.fca.org.uk/files/sourcebook/PROD.pdf", "source_date": "June 2026" }, { "name": "competent_authorities", "value": "Financial Conduct Authority (FCA)", "read_at": "2026-10-23", "pages_checked": [ "https://www.fca.org.uk/" ], "source_url": "https://www.fca.org.uk/" }, { "name": "duty_map", "value": [ { "duty": "product governance (FCA PROD sourcebook)" } ], "read_at": "2026-10-30T21:17:22Z", "pages_checked": [ "https://mcp.getissuer.ai/mcp" ], "source_url": "https://mcp.getissuer.ai/mcp", "conflict": { "values": [ { "value": [ { "regime": "PROD 3 Product governance: MiFID", "actors": [ "MiFID investment firm", "CRD credit institution", "MiFID optional exemption firm", "branches of third country investment firms" ], "activities": [ "manufacturing financial instruments and structured deposits", "distributing financial instruments, structured deposits and investment services" ] }, { "regime": "PROD 4 Product governance: IDD and pathway investments", "actors": [ "insurance intermediary", "insurer" ], "activities": [ "manufacturing insurance products", "product governance and distribution arrangements for legacy non-investment insurance products", "distributing insurance products" ] }, { "regime": "PROD 2", "scope": "FCA's approach to issuing temporary product intervention rules; of relevance to all firms" } ], "source_url": "https://api-handbook.fca.org.uk/files/sourcebook/PROD.pdf", "quote": "(5) manufacturing financial instruments and structured deposits; and (6) distributing financial instruments, structured deposits and investment services.", "source_date": "June 2026" } ], "reason": "review PARTIAL: PARTIAL\n\nThe excerpt supports the **PROD 3** and **PROD 2** entries but does not explicitly mention **PROD 4 (IDD and pathway investments)** or its associated actors/activities. The claimed value for ", "selection_rule": "none — unresolved (BOOK-02 records, does not resolve)" } }, { "name": "regulated_activities", "value": "not_found", "read_at": "2026-10-31T02:15:49Z", "pages_checked": [ "https://handbook.fca.org.uk/handbook/prod1", "https://api-handbook.fca.org.uk/files/sourcebook/PROD.pdf", "https://handbook.fca.org.uk/handbook/prod1/prod1s7", "https://handbook.fca.org.uk/handbook/prod1/prod1s4", "https://www.fca.org.uk/", "https://handbook.fca.org.uk/handbook?entityId=prod", "https://mcp.getissuer.ai/mcp", "https://handbook.fca.org.uk/handbook/prod4", "https://handbook.fca.org.uk/handbook/prod8", "https://handbook.fca.org.uk/guides/reader-guide" ] }, { "name": "participant_categories", "value": "not_found", "read_at": "2026-10-31T01:50:32Z", "pages_checked": [ "https://handbook.fca.org.uk/handbook/prod1", "https://api-handbook.fca.org.uk/files/sourcebook/PROD.pdf", "https://handbook.fca.org.uk/handbook/prod1/prod1s7", "https://handbook.fca.org.uk/handbook/prod1/prod1s4", "https://www.fca.org.uk/", "https://handbook.fca.org.uk/handbook?entityId=prod", "https://mcp.getissuer.ai/mcp", "https://handbook.fca.org.uk/handbook/prod4", "https://handbook.fca.org.uk/handbook/prod8", "https://handbook.fca.org.uk/guides/reader-guide" ], "conflict": { "values": [ { "value": [ { "category": "MiFID investment firm" }, { "category": "CRD credit institution" }, { "category": "MiFID optional exemption firm" }, { "category": "branches of third country investment firms" }, { "category": "insurance intermediary" }, { "category": "insurer" }, { "category": "TP firm" }, { "category": "Gibraltar-based firm" }, { "category": "POP operator", "note": "a distributor for the purposes of PROD 3" }, { "category": "eligible counterparty business", "note": "PROD 3.3.1R does not apply" }, { "category": "larger commercial customer" }, { "category": "consumer" }, { "category": "retail client" } ], "source_url": "https://api-handbook.fca.org.uk/files/sourcebook/PROD.pdf", "quote": "PROD 4 applies to: (1) an insurance intermediary; and (2) an insurer, with respect to:", "source_date": "June 2026" } ], "reason": "review PARTIAL: PARTIAL\n\nThe excerpt explicitly supports some categories (e.g., \"insurance intermediary,\" \"insurer,\" \"TP firm,\" \"Gibraltar-based firm,\" \"POP operator\") but does not mention or confirm others (e.g., \"M", "selection_rule": "none — unresolved (BOOK-02 records, does not resolve)" } }, { "name": "product_categories", "value": "not_found", "read_at": "2026-10-31T01:50:32Z", "pages_checked": [ "https://handbook.fca.org.uk/handbook/prod1", "https://api-handbook.fca.org.uk/files/sourcebook/PROD.pdf", "https://handbook.fca.org.uk/handbook/prod1/prod1s7", "https://handbook.fca.org.uk/handbook/prod1/prod1s4", "https://www.fca.org.uk/", "https://handbook.fca.org.uk/handbook?entityId=prod", "https://mcp.getissuer.ai/mcp", "https://handbook.fca.org.uk/handbook/prod4", "https://handbook.fca.org.uk/handbook/prod8", "https://handbook.fca.org.uk/guides/reader-guide" ], "conflict": { "values": [ { "value": [ { "category": "financial instruments" }, { "category": "structured deposits" }, { "category": "insurance products", "exclusions": [ "specialist risks contract or general insurance contract distributed to larger commercial customers meeting the conditions in PROD 1.4.3-AR", "reinsurance contract", "bespoke insurance contract" ] }, { "category": "legacy non-investment insurance products" }, { "category": "overseas non-investment insurance products", "special_regime": "PROD 4 applies with modifications" }, { "category": "pathway investments" }, { "category": "default options" }, { "category": "funeral plans" }, { "category": "extended warranties sold with rent-to-own agreements" }, { "category": "plain vanilla listed bonds", "special_regime": "PROD 3.2.19R to PROD 3.2.26R do not apply to manufacture of those issued by an ESCC issuer or ESCC subsidiary" } ], "source_url": "https://api-handbook.fca.org.uk/files/sourcebook/PROD.pdf", "quote": "(2) a reinsurance contract; or (3) a bespoke insurance contract within the meaning of PROD 1.4.3-CR.", "source_date": "June 2026" } ], "reason": "review PARTIAL: PARTIAL\n\nThe excerpt explicitly supports the exclusions for \"reinsurance contract\" and \"bespoke insurance contract\" under \"insurance products,\" but does not address the other claimed categories or spe", "selection_rule": "none — unresolved (BOOK-02 records, does not resolve)" } }, { "name": "issuer_and_listing_scope", "value": { "plain_vanilla_listed_bonds": "PROD 3.2.19R to PROD 3.2.26R do not apply in respect of the manufacture of plain vanilla listed bonds issued by an ESCC issuer or ESCC subsidiary" }, "read_at": "2026-10-31T01:50:32Z", "pages_checked": [ "https://api-handbook.fca.org.uk/files/sourcebook/PROD.pdf", "https://handbook.fca.org.uk/handbook/prod1", "https://handbook.fca.org.uk/handbook/prod1/prod1s7", "https://handbook.fca.org.uk/handbook/prod1/prod1s4", "https://www.fca.org.uk/", "https://handbook.fca.org.uk/handbook?entityId=prod", "https://mcp.getissuer.ai/mcp", "https://handbook.fca.org.uk/handbook/prod4", "https://handbook.fca.org.uk/handbook/prod8", "https://handbook.fca.org.uk/guides/reader-guide" ], "source_url": "https://api-handbook.fca.org.uk/files/sourcebook/PROD.pdf", "source_date": "June 2026" }, { "name": "exchanges_and_venues", "value": [ { "name": "London Stock Exchange - Main Market", "listings_page": "https://www.londonstockexchange.com/equities-trading/our-markets" }, { "name": "London Stock Exchange - AIM", "listings_page": "https://www.londonstockexchange.com/raise-finance/equity/aim" } ], "read_at": "2026-10-23", "pages_checked": [ "https://www.londonstockexchange.com/equities-trading/our-markets" ], "source_url": "https://www.londonstockexchange.com/equities-trading/our-markets" }, { "name": "information_stores", "value": "National Storage Mechanism (NSM), FCA: 'allows you to access regulated announcements and disclosed documents'", "read_at": "2026-10-23", "pages_checked": [ "https://www.fca.org.uk/markets/primary-markets/regulatory-disclosures/national-storage-mechanism" ], "source_url": "https://www.fca.org.uk/markets/primary-markets/regulatory-disclosures/national-storage-mechanism" }, { "name": "store_lookup", "value": "NSM search by company name, LEI, document type, keywords in document content; results exportable to CSV", "read_at": "2026-10-23", "pages_checked": [ "https://www.fca.org.uk/markets/primary-markets/regulatory-disclosures/national-storage-mechanism" ], "source_url": "https://www.fca.org.uk/markets/primary-markets/regulatory-disclosures/national-storage-mechanism" }, { "name": "periodic_reporting", "value": [ { "report": "Annual financial report (Main Market, DTR 4.1.3)", "deadline": "An issuer must make public its annual financial report at the latest four months after the end of each financial year." }, { "report": "Half-yearly financial report (Main Market, DTR 4.2.2)", "deadline": "as soon as possible, but no later than three months, after the end of the period to which the report relates" } ], "read_at": "2026-10-23", "pages_checked": [ "https://www.handbook.fca.org.uk/handbook/DTR/4/1.html", "https://www.handbook.fca.org.uk/handbook/DTR/4/2.html" ], "source_url": "https://www.handbook.fca.org.uk/handbook/DTR/4/1.html" }, { "name": "ad_hoc_disclosure", "value": "UK MAR art. 17(1): 'An issuer shall inform the public as soon as possible of inside information which directly concerns that issuer.'", "read_at": "2026-10-23", "pages_checked": [ "https://www.legislation.gov.uk/eur/2014/596/article/17" ], "source_url": "https://www.legislation.gov.uk/eur/2014/596/article/17" }, { "name": "filing_formats", "value": [ { "channel": "Regulatory announcements via Primary Information Providers (PIPs)", "requirement": "PIPs must use a specified schema and application programming interface (API) – see Primary Market Technical Note 523.1; announcements validated automatically" } ], "read_at": "2026-10-31T02:13:59Z", "pages_checked": [ "https://www.fca.org.uk/markets/primary-markets/regulatory-disclosures/national-storage-mechanism", "https://api-handbook.fca.org.uk/files/sourcebook/PROD.pdf", "https://handbook.fca.org.uk/handbook?entityId=prod", "https://handbook.fca.org.uk/handbook/prod1", "https://www.handbook.fca.org.uk/handbook/DTR/4/1.html", "https://www.handbook.fca.org.uk/handbook/DTR/4/2.html", "https://handbook.fca.org.uk/handbook/prod3", "https://handbook.fca.org.uk/handbook/prod4", "https://www.legislation.gov.uk/eur/2014/596/article/17", "https://www.legislation.gov.uk/uksi/2024/105/schedules/made/data.xht?view=snippet&wrap=true" ], "source_url": "https://www.fca.org.uk/markets/primary-markets/regulatory-disclosures/national-storage-mechanism", "source_date": "23/10/2026" }, { "name": "filing_languages", "value": "not_found", "read_at": "2026-10-31T02:15:51Z", "pages_checked": [ "https://www.fca.org.uk/markets/primary-markets/regulatory-disclosures/national-storage-mechanism", "https://api-handbook.fca.org.uk/files/sourcebook/PROD.pdf", "https://handbook.fca.org.uk/handbook?entityId=prod", "https://handbook.fca.org.uk/handbook/prod1", "https://www.handbook.fca.org.uk/handbook/DTR/4/1.html", "https://www.handbook.fca.org.uk/handbook/DTR/4/2.html", "https://handbook.fca.org.uk/handbook/prod3", "https://handbook.fca.org.uk/handbook/prod4", "https://www.legislation.gov.uk/eur/2014/596/article/17", "https://www.legislation.gov.uk/uksi/2024/105/schedules/made/data.xht?view=snippet&wrap=true" ] }, { "name": "prospectus_regime", "value": [ { "rule": "PRM 9.5", "requirement": "Placing a prospectus on the NSM does not fulfil the obligations of issuers to make the prospectus public under PRM 9.5" } ], "read_at": "2026-10-31T02:13:59Z", "pages_checked": [ "https://www.fca.org.uk/markets/primary-markets/regulatory-disclosures/national-storage-mechanism", "https://api-handbook.fca.org.uk/files/sourcebook/PROD.pdf", "https://handbook.fca.org.uk/handbook?entityId=prod", "https://handbook.fca.org.uk/handbook/prod1", "https://www.handbook.fca.org.uk/handbook/DTR/4/1.html", "https://www.handbook.fca.org.uk/handbook/DTR/4/2.html", "https://handbook.fca.org.uk/handbook/prod3", "https://handbook.fca.org.uk/handbook/prod4", "https://www.legislation.gov.uk/eur/2014/596/article/17", "https://www.legislation.gov.uk/uksi/2024/105/schedules/made/data.xht?view=snippet&wrap=true" ], "source_url": "https://www.fca.org.uk/markets/primary-markets/regulatory-disclosures/national-storage-mechanism", "source_date": "23/10/2026" }, { "name": "product_disclosures", "value": "not_found", "read_at": "2026-10-31T02:15:51Z", "pages_checked": [ "https://www.fca.org.uk/markets/primary-markets/regulatory-disclosures/national-storage-mechanism", "https://api-handbook.fca.org.uk/files/sourcebook/PROD.pdf", "https://handbook.fca.org.uk/handbook?entityId=prod", "https://handbook.fca.org.uk/handbook/prod1", "https://www.handbook.fca.org.uk/handbook/DTR/4/1.html", "https://www.handbook.fca.org.uk/handbook/DTR/4/2.html", "https://handbook.fca.org.uk/handbook/prod3", "https://handbook.fca.org.uk/handbook/prod4", "https://www.legislation.gov.uk/eur/2014/596/article/17", "https://www.legislation.gov.uk/uksi/2024/105/schedules/made/data.xht?view=snippet&wrap=true" ] }, { "name": "takeover_regime", "value": "not_found", "read_at": "2026-10-31T02:15:51Z", "pages_checked": [ "https://api-handbook.fca.org.uk/files/sourcebook/PROD.pdf", "https://handbook.fca.org.uk/handbook?entityId=prod", "https://handbook.fca.org.uk/handbook/prod1", "https://api-handbook.fca.org.uk/files/sourcebook/PRIN.pdf", "https://handbook.fca.org.uk/handbook?entityId=dtr", "https://handbook.fca.org.uk/handbook/dtr5/dtr5s1", "https://handbook.fca.org.uk/handbook/dtr5/dtr5s7", "https://handbook.fca.org.uk/handbook/dtr5/dtr5s11", "https://handbook.fca.org.uk/handbook/prod3", "https://handbook.fca.org.uk/handbook/prod8" ] }, { "name": "ownership_reporting", "value": "not_found", "read_at": "2026-10-31T02:15:51Z", "pages_checked": [ "https://api-handbook.fca.org.uk/files/sourcebook/PROD.pdf", "https://handbook.fca.org.uk/handbook?entityId=prod", "https://handbook.fca.org.uk/handbook/prod1", "https://api-handbook.fca.org.uk/files/sourcebook/PRIN.pdf", "https://handbook.fca.org.uk/handbook?entityId=dtr", "https://handbook.fca.org.uk/handbook/dtr5/dtr5s1", "https://handbook.fca.org.uk/handbook/dtr5/dtr5s7", "https://handbook.fca.org.uk/handbook/dtr5/dtr5s11", "https://handbook.fca.org.uk/handbook/prod3", "https://handbook.fca.org.uk/handbook/prod8" ] }, { "name": "short_selling", "value": "not_found", "read_at": "2026-10-31T02:15:51Z", "pages_checked": [ "https://api-handbook.fca.org.uk/files/sourcebook/PROD.pdf", "https://handbook.fca.org.uk/handbook?entityId=prod", "https://handbook.fca.org.uk/handbook/prod1", "https://api-handbook.fca.org.uk/files/sourcebook/PRIN.pdf", "https://handbook.fca.org.uk/handbook?entityId=dtr", "https://handbook.fca.org.uk/handbook/dtr5/dtr5s1", "https://handbook.fca.org.uk/handbook/dtr5/dtr5s7", "https://handbook.fca.org.uk/handbook/dtr5/dtr5s11", "https://handbook.fca.org.uk/handbook/prod3", "https://handbook.fca.org.uk/handbook/prod8" ] }, { "name": "market_abuse", "value": "not_found", "read_at": "2026-10-31T02:15:51Z", "pages_checked": [ "https://api-handbook.fca.org.uk/files/sourcebook/PROD.pdf", "https://handbook.fca.org.uk/handbook?entityId=prod", "https://handbook.fca.org.uk/handbook/prod1", "https://api-handbook.fca.org.uk/files/sourcebook/PRIN.pdf", "https://handbook.fca.org.uk/handbook?entityId=dtr", "https://handbook.fca.org.uk/handbook/dtr5/dtr5s1", "https://handbook.fca.org.uk/handbook/dtr5/dtr5s7", "https://handbook.fca.org.uk/handbook/dtr5/dtr5s11", "https://handbook.fca.org.uk/handbook/prod3", "https://handbook.fca.org.uk/handbook/prod8" ] }, { "name": "trading_controls", "value": "not_found", "read_at": "2026-10-31T02:15:51Z", "pages_checked": [ "https://api-handbook.fca.org.uk/files/sourcebook/PROD.pdf", "https://handbook.fca.org.uk/handbook?entityId=prod", "https://handbook.fca.org.uk/handbook/prod1", "https://api-handbook.fca.org.uk/files/sourcebook/PRIN.pdf", "https://handbook.fca.org.uk/handbook?entityId=dtr", "https://handbook.fca.org.uk/handbook/dtr5/dtr5s1", "https://handbook.fca.org.uk/handbook/dtr5/dtr5s7", "https://handbook.fca.org.uk/handbook/dtr5/dtr5s11", "https://handbook.fca.org.uk/handbook/prod3", "https://handbook.fca.org.uk/handbook/prod8" ] }, { "name": "market_calendar", "value": "LSE business days page: 'London Stock Exchange generally operates its Trading Services each weekday'; recognises Public and Bank Holidays of England & Wales; lists bank holiday impact 2026-2029", "read_at": "2026-10-23", "pages_checked": [ "https://www.londonstockexchange.com/equities-trading/business-days" ], "source_url": "https://www.londonstockexchange.com/equities-trading/business-days" }, { "name": "halts_sources", "value": "not_found", "read_at": "2026-10-31T02:15:51Z", "pages_checked": [ "https://api-handbook.fca.org.uk/files/sourcebook/PROD.pdf", "https://handbook.fca.org.uk/handbook?entityId=prod", "https://handbook.fca.org.uk/handbook/prod1", "https://api-handbook.fca.org.uk/files/sourcebook/PRIN.pdf", "https://handbook.fca.org.uk/handbook?entityId=dtr", "https://handbook.fca.org.uk/handbook/dtr5/dtr5s1", "https://handbook.fca.org.uk/handbook/dtr5/dtr5s7", "https://handbook.fca.org.uk/handbook/dtr5/dtr5s11", "https://handbook.fca.org.uk/handbook/prod3", "https://handbook.fca.org.uk/handbook/prod8" ] }, { "name": "identifiers", "value": "not_found", "read_at": "2026-10-31T02:15:51Z", "pages_checked": [ "https://api-handbook.fca.org.uk/files/sourcebook/PROD.pdf", "https://handbook.fca.org.uk/handbook?entityId=prod", "https://handbook.fca.org.uk/handbook/prod1", "https://api-handbook.fca.org.uk/files/sourcebook/PRIN.pdf", "https://handbook.fca.org.uk/handbook?entityId=dtr", "https://handbook.fca.org.uk/handbook/dtr5/dtr5s1", "https://handbook.fca.org.uk/handbook/dtr5/dtr5s7", "https://handbook.fca.org.uk/handbook/dtr5/dtr5s11", "https://handbook.fca.org.uk/handbook/prod3", "https://handbook.fca.org.uk/handbook/prod8" ] }, { "name": "isin_prefix", "value": "GB, GG, IM, JE - London Stock Exchange Plc is the UK National Numbering Agency (allocation covers Great Britain, Jersey, Guernsey and the Isle of Man)", "read_at": "2026-10-23", "pages_checked": [ "https://www.lseg.com/en/data-indices-analytics/data/isin-services" ], "source_url": "https://www.lseg.com/en/data-indices-analytics/data/isin-services", "conflict": { "values": [ { "value": { "prefixes": [ "GB", "GG", "IM", "JE" ], "issuer": "London Stock Exchange plc acting as the National Numbering Agency for the United Kingdom", "allocation_jurisdiction": "Great Britain (GB), Jersey (JE), Guernsey (GG) and the Isle of Man (IM)" }, "source_url": "https://www.lseg.com/en/data-indices-analytics/data/isin-services", "quote": "is the sole issuer of Great Britain (GB), Jersey (JE), Guernsey (GG) and the Isle of Man (IM) International Securities Identification Numbers (ISINs) pursuant to ISO 6166", "source_date": null } ], "reason": "review UNSUPPORTED: SUPPORTED, The excerpt explicitly states that the London Stock Exchange plc is the sole issuer of ISINs for Great Britain (GB), Jersey (JE), Guernsey (GG), and the Isle of Man (IM) under ISO 6166, mat", "selection_rule": "none — unresolved (BOOK-02 records, does not resolve)" } }, { "name": "lei_requirements", "value": "LEI = unique 20-character alphanumeric code, ISO 17442 (GLEIF). The GLEIF page states no general who-must-hold rule; mandates are set by national regulators.", "read_at": "2026-10-23", "pages_checked": [ "https://www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei" ], "source_url": "https://www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei" }, { "name": "settlement", "value": "not_found", "read_at": "2026-10-31T02:15:00Z", "pages_checked": [ "https://www.lseg.com/en/data-indices-analytics/data/isin-services", "https://www.lseg.com/en/data-analytics/market-data/data-analytics-pricing/data-symbology/isin-services", "https://www.lseg.com/content/dam/lseg/en_us/documents/guides/isin-services-faq-v1.pdf", "https://developers.lseg.com/en/api-catalog/eikon/datastream-web-service/Tutorials/dsws-soap-tutorial", "https://www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei", "https://handbook.fca.org.uk/handbook/prod1", "https://handbook.fca.org.uk/handbook/prod4/prod4s2", "https://handbook.fca.org.uk/handbook?entityId=prod", "https://www.londonstockexchange.com/content/dam/lse/en_us/documents/guides/introducing-and-operating-exchange-traded-funds-etfs-in-the-uk.pdf", "https://www.londonstockexchange.com/en/markets-products/asset-classes/debt-securities/debt-trading/order-book-fixed-income" ] }, { "name": "clearing_and_custody", "value": "not_found", "read_at": "2026-10-31T02:15:00Z", "pages_checked": [ "https://www.lseg.com/en/data-indices-analytics/data/isin-services", "https://www.lseg.com/en/data-analytics/market-data/data-analytics-pricing/data-symbology/isin-services", "https://www.lseg.com/content/dam/lseg/en_us/documents/guides/isin-services-faq-v1.pdf", "https://developers.lseg.com/en/api-catalog/eikon/datastream-web-service/Tutorials/dsws-soap-tutorial", "https://www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei", "https://handbook.fca.org.uk/handbook/prod1", "https://handbook.fca.org.uk/handbook/prod4/prod4s2", "https://handbook.fca.org.uk/handbook?entityId=prod", "https://www.londonstockexchange.com/content/dam/lse/en_us/documents/guides/introducing-and-operating-exchange-traded-funds-etfs-in-the-uk.pdf", "https://www.londonstockexchange.com/en/markets-products/asset-classes/debt-securities/debt-trading/order-book-fixed-income" ] }, { "name": "corporate_actions", "value": "not_found", "read_at": "2026-10-31T02:15:52Z", "pages_checked": [ "https://www.lseg.com/en/data-indices-analytics/data/isin-services", "https://www.lseg.com/en/data-analytics/market-data/data-analytics-pricing/data-symbology/isin-services", "https://www.lseg.com/content/dam/lseg/en_us/documents/guides/isin-services-faq-v1.pdf", "https://developers.lseg.com/en/api-catalog/eikon/datastream-web-service/Tutorials/dsws-soap-tutorial", "https://www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei", "https://handbook.fca.org.uk/handbook/prod1", "https://handbook.fca.org.uk/handbook/prod4/prod4s2", "https://handbook.fca.org.uk/handbook?entityId=prod", "https://www.londonstockexchange.com/content/dam/lse/en_us/documents/guides/introducing-and-operating-exchange-traded-funds-etfs-in-the-uk.pdf", "https://www.londonstockexchange.com/en/markets-products/asset-classes/debt-securities/debt-trading/order-book-fixed-income" ] }, { "name": "retail_access", "value": "not_found", "read_at": "2026-10-31T02:15:00Z", "pages_checked": [ "https://www.lseg.com/en/data-indices-analytics/data/isin-services", "https://www.lseg.com/en/data-analytics/market-data/data-analytics-pricing/data-symbology/isin-services", "https://www.lseg.com/content/dam/lseg/en_us/documents/guides/isin-services-faq-v1.pdf", "https://developers.lseg.com/en/api-catalog/eikon/datastream-web-service/Tutorials/dsws-soap-tutorial", "https://www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei", "https://handbook.fca.org.uk/handbook/prod1", "https://handbook.fca.org.uk/handbook/prod4/prod4s2", "https://handbook.fca.org.uk/handbook?entityId=prod", "https://www.londonstockexchange.com/content/dam/lse/en_us/documents/guides/introducing-and-operating-exchange-traded-funds-etfs-in-the-uk.pdf", "https://www.londonstockexchange.com/en/markets-products/asset-classes/debt-securities/debt-trading/order-book-fixed-income" ], "conflict": { "values": [ { "value": [ { "venue": "OFIS", "rule": "segments and sectors can accommodate professional only as well as Access Bonds (available to retail)" }, { "segment": "International Securities Market", "rule": "available for wholesale investors only (not subject to UK PRM Rules)" } ], "source_url": "https://www.londonstockexchange.com/en/markets-products/asset-classes/debt-securities/debt-trading/order-book-fixed-income", "quote": "The different segments and sectors can accommodate professional only as well as Access Bonds (available to retail) with trading available in a broad range of currencies, including GBP, USD and EUR.", "source_date": null } ], "reason": "review PARTIAL: **PARTIAL**\n\nThe excerpt confirms that OFIS accommodates both professional-only segments and Access Bonds (available to retail), but it does not explicitly mention the \"International Securities Market", "selection_rule": "none — unresolved (BOOK-02 records, does not resolve)" } }, { "name": "cross_border_access", "value": [ { "subject": "Collective investment schemes established in the EEA from 1 January 2021", "requirement": "must be fully authorised under section 272 of FSMA" } ], "read_at": "2026-10-31T02:15:00Z", "pages_checked": [ "https://www.londonstockexchange.com/content/dam/lse/en_us/documents/guides/introducing-and-operating-exchange-traded-funds-etfs-in-the-uk.pdf", "https://www.lseg.com/en/data-indices-analytics/data/isin-services", "https://www.lseg.com/en/data-analytics/market-data/data-analytics-pricing/data-symbology/isin-services", "https://www.lseg.com/content/dam/lseg/en_us/documents/guides/isin-services-faq-v1.pdf", "https://developers.lseg.com/en/api-catalog/eikon/datastream-web-service/Tutorials/dsws-soap-tutorial", "https://www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei", "https://handbook.fca.org.uk/handbook/prod1", "https://handbook.fca.org.uk/handbook/prod4/prod4s2", "https://handbook.fca.org.uk/handbook?entityId=prod", "https://www.londonstockexchange.com/en/markets-products/asset-classes/debt-securities/debt-trading/order-book-fixed-income" ], "source_url": "https://www.londonstockexchange.com/content/dam/lse/en_us/documents/guides/introducing-and-operating-exchange-traded-funds-etfs-in-the-uk.pdf", "source_date": "2026-07-20" }, { "name": "tax_at_source", "value": "not_found", "read_at": "2026-10-31T02:15:52Z", "pages_checked": [ "https://www.lseg.com/en/data-indices-analytics/data/isin-services", "https://www.lseg.com/en/data-analytics/market-data/data-analytics-pricing/data-symbology/isin-services", "https://www.lseg.com/content/dam/lseg/en_us/documents/guides/isin-services-faq-v1.pdf", "https://developers.lseg.com/en/api-catalog/eikon/datastream-web-service/Tutorials/dsws-soap-tutorial", "https://www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei", "https://handbook.fca.org.uk/handbook/prod1", "https://handbook.fca.org.uk/handbook/prod4/prod4s2", "https://handbook.fca.org.uk/handbook?entityId=prod", "https://www.londonstockexchange.com/content/dam/lse/en_us/documents/guides/introducing-and-operating-exchange-traded-funds-etfs-in-the-uk.pdf", "https://www.londonstockexchange.com/en/markets-products/asset-classes/debt-securities/debt-trading/order-book-fixed-income" ] }, { "name": "fees_and_levies", "value": "not_found", "read_at": "2026-10-31T02:15:52Z", "pages_checked": [ "https://api-handbook.fca.org.uk/files/sourcebook/PROD.pdf", "https://handbook.fca.org.uk/handbook?entityId=prod", "https://handbook.fca.org.uk/handbook/prod1", "https://handbook.fca.org.uk/handbook?entityId=bcobs", "https://handbook.fca.org.uk/handbook/prod4", "https://handbook.fca.org.uk/handbook/prod4/prod4s3", "https://handbook.fca.org.uk/handbook/prod3/prod3s3", "https://handbook.fca.org.uk/handbook/prod7", "https://handbook.fca.org.uk/handbook/prod7?timeline=true&date=12-07-2026", "https://handbook.fca.org.uk/guides/reader-guide" ] }, { "name": "conduct_and_conflicts", "value": "not_found", "read_at": "2026-10-31T01:50:32Z", "pages_checked": [ "https://api-handbook.fca.org.uk/files/sourcebook/PROD.pdf", "https://handbook.fca.org.uk/handbook?entityId=prod", "https://handbook.fca.org.uk/handbook/prod1", "https://handbook.fca.org.uk/handbook?entityId=bcobs", "https://handbook.fca.org.uk/handbook/prod4", "https://handbook.fca.org.uk/handbook/prod4/prod4s3", "https://handbook.fca.org.uk/handbook/prod3/prod3s3", "https://handbook.fca.org.uk/handbook/prod7", "https://handbook.fca.org.uk/handbook/prod7?timeline=true&date=12-07-2026", "https://handbook.fca.org.uk/guides/reader-guide" ], "conflict": { "values": [ { "value": [ { "duty": "A POP operator is a distributor for the purposes of PROD 3 and must comply with PROD 3 to the extent that it is within the scope of PROD 1.3.1R", "provision": "PROD 1.3.17(1)" }, { "duty": "Where a POP operator's activity is not within the scope of PROD 1.3.1R, it must comply with the requirements in Principle 12 and PRIN 2A", "provision": "PROD 1.3.17(2)" } ], "source_url": "https://api-handbook.fca.org.uk/files/sourcebook/PROD.pdf", "quote": "Where a POP operator's activity is not within the scope of PROD 1.3.1R, it must comply with the requirements in Principle 12 and PRIN 2A.", "source_date": "June 2026" } ], "reason": "review UNSUPPORTED: SUPPORTED, The page excerpt directly includes the exact claimed supporting quote and provisions (PROD 1.3.17(1) and (2)) for POP operators in the UK market.", "selection_rule": "none — unresolved (BOOK-02 records, does not resolve)" } }, { "name": "recordkeeping", "value": "not_found", "read_at": "2026-10-31T02:15:53Z", "pages_checked": [ "https://api-handbook.fca.org.uk/files/sourcebook/PROD.pdf", "https://handbook.fca.org.uk/handbook?entityId=prod", "https://handbook.fca.org.uk/handbook/prod1", "https://handbook.fca.org.uk/handbook?entityId=bcobs", "https://handbook.fca.org.uk/handbook/prod4", "https://handbook.fca.org.uk/handbook/prod4/prod4s3", "https://handbook.fca.org.uk/handbook/prod3/prod3s3", "https://handbook.fca.org.uk/handbook/prod7", "https://handbook.fca.org.uk/handbook/prod7?timeline=true&date=12-07-2026", "https://handbook.fca.org.uk/guides/reader-guide" ] }, { "name": "complaints_and_redress", "value": "not_found", "read_at": "2026-10-31T02:15:53Z", "pages_checked": [ "https://api-handbook.fca.org.uk/files/sourcebook/PROD.pdf", "https://handbook.fca.org.uk/handbook?entityId=prod", "https://handbook.fca.org.uk/handbook/prod1", "https://handbook.fca.org.uk/handbook?entityId=bcobs", "https://handbook.fca.org.uk/handbook/prod4", "https://handbook.fca.org.uk/handbook/prod4/prod4s3", "https://handbook.fca.org.uk/handbook/prod3/prod3s3", "https://handbook.fca.org.uk/handbook/prod7", "https://handbook.fca.org.uk/handbook/prod7?timeline=true&date=12-07-2026", "https://handbook.fca.org.uk/guides/reader-guide" ] }, { "name": "effective_changes", "value": "not_found", "read_at": "2026-10-31T01:50:32Z", "pages_checked": [ "https://api-handbook.fca.org.uk/files/sourcebook/PROD.pdf", "https://handbook.fca.org.uk/handbook?entityId=prod", "https://handbook.fca.org.uk/handbook/prod1", "https://handbook.fca.org.uk/handbook?entityId=bcobs", "https://handbook.fca.org.uk/handbook/prod4", "https://handbook.fca.org.uk/handbook/prod4/prod4s3", "https://handbook.fca.org.uk/handbook/prod3/prod3s3", "https://handbook.fca.org.uk/handbook/prod7", "https://handbook.fca.org.uk/handbook/prod7?timeline=true&date=12-07-2026", "https://handbook.fca.org.uk/guides/reader-guide" ], "conflict": { "values": [ { "value": [ { "status": "enacted modification", "change": "For an overseas non-investment insurance product, a firm's product approval process (and arrangements for ongoing monitoring) need only comply with the requirements in PROD 4.2 or PROD 4.3 as they stood on 30 September 2021, except for those provisions in PROD 1.4.11R(2)", "provision": "PROD 1.4.11R / PROD 1.4.12G" } ], "source_url": "https://api-handbook.fca.org.uk/files/sourcebook/PROD.pdf", "quote": "a firm’s product approval process (and arrangements for ongoing monitoring) need only comply with: (a) the requirements in PROD 4.2 or PROD 4.3 as they stood on 30 September 2021", "source_date": "June 2026" } ], "reason": "review PARTIAL: PARTIAL\n\nThe excerpt supports the core claim that firms need only comply with PROD 4.2 or PROD 4.3 as they stood on 30 September 2021, but it explicitly excludes certain provisions (PROD 1.4.11R(2)), ", "selection_rule": "none — unresolved (BOOK-02 records, does not resolve)" } }, { "name": "additional_duty_fields", "value": "not_found", "read_at": "2026-10-31T02:15:53Z", "pages_checked": [ "https://api-handbook.fca.org.uk/files/sourcebook/PROD.pdf", "https://handbook.fca.org.uk/handbook?entityId=prod", "https://handbook.fca.org.uk/handbook/prod1", "https://handbook.fca.org.uk/handbook?entityId=bcobs", "https://handbook.fca.org.uk/handbook/prod4", "https://handbook.fca.org.uk/handbook/prod4/prod4s3", "https://handbook.fca.org.uk/handbook/prod3/prod3s3", "https://handbook.fca.org.uk/handbook/prod7", "https://handbook.fca.org.uk/handbook/prod7?timeline=true&date=12-07-2026", "https://handbook.fca.org.uk/guides/reader-guide" ] } ], "seed": { "note": "seed v1 (BOOK-01): the twelve node-page fields and the apex duty line carried in as values with their source URLs and read dates — evidence kept, shape reset; every other field not_found with pages_checked empty (not yet read; BOOK-02)", "node_record": { "url": "https://uk-eco.ai/eco.json", "read_at": "2026-10-30T21:17:25Z", "sha256": "74f106e381d451bf1b0194092f76e4f855c462d7e1a19cde799fe87acdced863", "kid": "allooloo-eco-2026-10", "hunted": "2026-10-23", "schema": "allooloo-eco/1.0", "pages_checked": [ "https://www.handbook.fca.org.uk/handbook/DTR/4/2.html", "https://www.fca.org.uk/markets/primary-markets/national-storage-mechanism (404)", "https://www.handbook.fca.org.uk/handbook/DTR/4/1.html", "https://www.londonstockexchange.com/equities-trading/business-days", "https://data.fca.org.uk/#/nsm/nationalstoragemechanism (SPA shell only)", "https://www.legislation.gov.uk/eur/2014/596/article/17", "https://www.londonstockexchange.com/raise-finance/equity/aim", "https://www.fca.org.uk/markets/primary-markets/regulatory-disclosures/national-storage-mechanism", "https://www.londonstockexchange.com/equities-trading/market-status", "https://www.londonstockexchange.com/raise-finance/equity/aim/aim-rules (no AIM text)", "https://www.fca.org.uk/", "https://www.lseg.com/en/data-indices-analytics/data/isin-services", "https://www.londonstockexchange.com/resources/london-stock-exchange-notices", "https://docs.londonstockexchange.com/sites/default/files/documents/AIM%20Rules%20for%20Companies%20-%20August%202026.pdf (403)", "https://www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei", "https://docs.londonstockexchange.com/sites/default/files/documents/AIM%20Rules%20for%20Companies%20-%20January%202026.pdf (403)", "https://www.londonstockexchange.com/live-markets/market-data-dashboard/price-explorer", "https://www.londonstockexchange.com/equities-trading/our-markets" ], "notes": "AIM Rules PDFs returned 403 so AIM periodic deadlines are not recorded; periodic_disclosure covers Main Market (DTR) only. 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"https://www.fca.org.uk/markets/primary-markets/regulatory-disclosures/national-storage-mechanism ; https://api-handbook.fca.org.uk/files/sourcebook/PROD.pdf ; https://handbook.fca.org.uk/handbook?entityId=prod", "url": "https://www.fca.org.uk/markets/primary-markets/regulatory-disclosures/national-storage-mechanism", "read_by": "BOOK-02 BOOK02-20261031" }, "isin_prefix": { "url": "https://www.lseg.com/en/data-indices-analytics/data/isin-services", "source": "https://www.lseg.com/en/data-indices-analytics/data/isin-services", "state": "sourced" }, "lei": { "url": "https://www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei", "source": "https://www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei", "state": "sourced" }, "market_calendar": { "url": "https://www.londonstockexchange.com/equities-trading/business-days", "source": "https://www.londonstockexchange.com/equities-trading/business-days", "state": "sourced" }, "filing_languages": { "state": 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