Reset to Today

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004.

Content Options:

Add to favourites

View Options:

More Resources:

External link Handbook Publications

MAR 9.2 Authorisation and verification

Application form and notification form for members of the management body

MAR 9.2.1DRP
  1. (1)

    1Each of the following must complete the forms in (2):

    1. (a)

      an applicant for a data reporting service authorisation;

    2. (b)

      a UK MiFID investment firm operating a trading venue seeking verification of its rights to provide a data reporting service under regulation 5(b) and (c) of the DRS Regulations; and

    3. (c)

      a UK RIE operating a trading venue seeking verification of its rights to provide a data reporting service under regulation 5(d) of the DRS Regulations.

  2. (2)

    The forms in (1) are:

    1. (a)

      the application form at MAR 9 Annex 1D; and

    2. (b)

      the notification form for the list of members of the management body at MAR 9 Annex 2D.

MAR 9.2.2GRP

MAR 9 Annex 1D and MAR 9 Annex 2D are derived from Annex I and Annex II respectively of MiFID ITS 3.

Provision of the forms in MAR 9 Annexes 1D, 2D, 3D and 4D to the FCA

MAR 9.2.6DRP

A person must provide MAR 9 Annexes 1D, 2D, 3D and 4D together with supporting documentation to the FCA by:

  1. (1)

    emailing MiFiDII.Applications@fca.org.uk; or

  2. (2)

    posting to the FCA addressed to:

    The Financial Conduct Authority

    FAO The Authorisations Support Team

    25 The North Colonnade

    Canary Wharf

    London E14 5HS