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    2024-10-04

MAR Sch 2 Notification requirements

MAR Sch 2.1G
1

This schedule outlines the notification requirements detailed in MAR where notifications should be provided to the FCA.1

Mar Sch 2.2G

Notification requirements1

1Handbook Reference

Matter to be notified

Contents of Notification

Trigger event

Time allowed

2MAR 5.3A.3R(4)

Market making agreements

Content of market making agreements

Upon formation of a binding written agreement

Without delay

2MAR 5.3A.8R

Trading halts on material markets

Information that trading is halted in a financial instrument

Upon trading halt

Without delay

2MAR 5.6.1R(1)

Non-compliant, disorderly or abusive trading

Information of the occurrence of significant breaches of rules, disorderly trading, system disruptions, or conduct that may involve market abuse

Upon occurrence of the breach, conditions or conduct

Without delay

2MAR 5.6A.1R(3)

Suspension and removal of financial instruments

Information of the suspension or removal of a financial instrument and any related or referenced derivative

Upon suspension or removal

Without delay

2MAR 5A.5.3R(4)

Market making agreements

Content of market making agreements

Upon formation of a binding written agreement

2MAR 5A.5.8R

Trading halts on material markets

Information that trading is halted in a financial instrument

Upon trading halt

Without delay

2MAR 5A.8.1R(1)

Non-compliant, disorderly or abusive trading

Information of the occurrence of significant breaches of rules, disorderly trading, system disruptions, or conduct that may involve market abuse

Upon occurrence of the breach, conditions or conduct

Without delay

2MAR 5A.9.1R(3)

Suspension and removal of financial instruments

Information of the suspension or removal of a financial instrument and any related or referenced derivative

Upon suspension or removal

Without delay

2MAR 6.4.1R

Systematic internaliser status

Information of gaining or ceasing systematic internaliser status

Upon becoming or ceasing to be a systematic internaliser

Without delay

2MAR 7A.3.6R

Engaging in algorithmic trading

Information that a member of a trading venue is engaging in algorithmic trading

Upon engagement in algorithmic trading

Without delay

2MAR 7A.4.4R

Provision of DEA services

Information that a firm is providing DEA services

Upon engagement in DEA provision

Without delay

2MAR 5.6.2R(1)

Proposal to change fee incentive scheme

Summary of proposal in the form set out in Annex 1

Proposal communicated to members

Without delay

2MAR 5.6.2R(2)

Change to fee incentive scheme

Summary of change

Change published or notified to members

Without delay

MAR 8.3.17 R

Reasonable possibility of not being able to hold sufficient financial resources

Full details together with relevant financial information

Occurrence

As soon as practicable

3MAR 9.2B.5 (3)

Any planned significant changes to IT systems

Summary of changes

Decision to make the planned change

Without delay

3 MAR 9.2B.6(4)

Breaches of the physical and electronic security measures referred to in MAR 9.2B.6 R(1) to MAR 9.2B.6 R(3)

Full details of the breach, including an incident report, indicating the nature of the incident, the measures adopted to cope with the incident and the initiatives taken to prevent similar incidents

Occurrence

Without delay

3MAR 9.2B.10R(8)

Errors or omissions in transaction reports

Summary of the error or omission

Occurrence

Without delay

3MAR 9.3.10R(2)

Non-compliance with any rule in MAR 9 3or other regulatory obligation

Reasons for non-compliance

Occurrence

As soon as reasonably practicable