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MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral

MAR 5.7.1 R

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MAR 5.7.1A D RP

4A firm that makes an application to the FCA for a waiver in accordance with articles 4 or 9 of MiFIR (in relation to pre-trade transparency for equity or non-equity instruments) must make it in the form set out in MAR 5 Annex 1D.

[Note: articles 4 and 9 of MiFIR, MiFID RTS 1 and MiFID RTS 2]

MAR 5.7.1B G RP

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MAR 5.7.1C D RP

4A firm intending to apply to the FCA for deferral in accordance with articles 7 or 11 of MiFIR in relation to post-trade transparency for equity or non-equity instruments must apply in writing to the FCA.

[Note: articles 7 and 11 of MiFIR, MiFID RTS 1 and MiFID RTS 2]

MAR 5.7.1D G RP

4A firm should have regard to the urgency and significance of a matter and, if appropriate, should also notify its usual supervisory contact at the FCA by telephone or by other prompt means of communication, before submitting a written application. Oral notifications should be given directly to the firm’s usual supervisory contact at the FCA. An oral notification left with another person or on a voicemail or other automatic messaging service is unlikely to have been given appropriately.

MAR 5.7.2 EU

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MAR 5.7.3 EU

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MAR 5.7.4 EU

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MAR 5.7.5 EU

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MAR 5.7.6 G

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MAR 5.7.7 EU

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MAR 5.7.8 EU

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MAR 5.7.9 EU

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MAR 5.7.10 EU

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MAR 5.7.11 EU

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MAR 5.7.12 G

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