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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.

Variation of authorisation form

MAR 9.2.3DRP

1If a data reporting services provider wishes to extend or otherwise vary its data reporting service authorisation it must complete the variation of authorisation form at MAR 9 Annex 3D.

MAR 9.2.4GRP

1MAR 9 Annex 3D requires completion of Annex I of MiFID ITS 3 in the case of an extension of authorisation and, if relevant, Annex II of MiFID ITS 3 if the members of the management body are different from the existing authorised data reporting services provider.

Cancellation of authorisation form

MAR 9.2.5DRP

1If a data reporting services provider wishes to cancel all of its data reporting service authorisation it must complete the cancellation of authorisation form at MAR 9 Annex 4D.

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