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    2023-04-28

MAR 5A.11 Post-trade transparency requirements for non-equity instruments: form of deferral

MAR 5A.11.1DRP

1A firm intending to apply to the FCA for deferral in accordance with article 11 of MiFIR (in relation to post-trade transparency for non-equity instruments) must apply in writing to the FCA.

[Note: article 11 of MiFIR and MiFID RTS 2]

MAR 5A.11.2GRP

1A 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 by other prompt means of communication, before submitting 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.