MAR 9.3 Notification and information
Notification to the FCA by an APA or a CTP of compliance with connectivity requirements
1As soon as possible and within 2 weeks of being authorised as an APA or a CTP, an APA or a CTP seeking a connection to the FCA’s market data processor system must:
- (1)
sign the MIS confidentiality agreement at MAR 9 Annex 10D; and
- (2)
email it to MDP.onboarding@fca.org.uk or post an original signed copy to the FCA addressed to:
The Financial Conduct Authority
FAO The Markets Reporting Team
25 The North Colonnade
Canary Wharf
London E14 5HS.
- (1)
To ensure the security of the FCA’s systems, the FCA requires an APA or a CTP to sign the MIS confidentiality agreement before receiving the FCA’s Market Interface Specification (MIS).
- (2)
Once the FCA receives the MIS confidentiality agreement from the APA or the CTP, the FCA will provide the APA or the CTP with Market Interface Specification (MIS).
An APA or a CTP seeking a connection to the FCA’s market data processor system must complete the form at MAR 9 Annex 7D as soon as possible and no later than 4 weeks following authorisation as an APA or a CTP.
Ad hoc notifications to the FCA
A data reporting services provider must promptly complete the ad hoc notification form in MAR 9 Annex 9D to notify the FCA in respect of all matters required by MiFID RTS 13.
Information to be provided in MAR 9 Annex 9D includes information relating to planned significant changes to a data reporting services provider’s IT system, breaches in physical and electronic security measures and service interruptions or connection disruptions.
Provision of the forms in MAR 9 Annexes 5D, 6D, 7D, 8D and 9D to the FCA
A data reporting services provider must promptly provide the forms in MAR 9 Annexes 5D, 6D, 7D, 8D and 9D and supporting documentation to the FCA:
- (1)
at MRT@fca.org.uk; or
- (2)
by posting it to the FCA, addressed to:
The Financial Conduct Authority
The Markets Reporting Team
25 The North Colonnade
Canary Wharf
London E14 5HS