SUP 13 Annex 3 3Specified information3: Cross Border Services

1

MiFID investment firm4

(a)4

The EEA State in which the UK firm intends to operate.4

4(b)

Details of the programme of operations, stating in particular the investment services and activities and the ancillary services which it intends to perform.

4(c)

Whether the UK firm intends to use tied agents in the territory of the EEA State in which the UK firm intends to operate.

2

UCITS management company

(a)

The information required under 1 above; and3:

(b)3

the EEA State within the territory of which the UCITS management company plans to operate. 3

3

Insurance undertaking (note 1)3

(a)

T3he EEA State in which the EEA activities are carried on, or are to be carried on;

(b)

the nature of the risks or commitments covered, or to be covered, in the EEA State concerned;

(c)

if the firm covers, or intends to cover, relevant motor vehicle risks (note 2):3

(i)

the name and address of the claims representative (note 3); and3

(ii)

details of the firm's3 membership of the national bureau and the national guarantee fund in the EEA State concerned (if required by the EEA State concerned as part of the consent notice)3; and

(d)

if the insurer3 covers, or intends to cover, health insurance, the technical bases used, or to be used, for calculating premiums in respect of such risks.3

44

MiFID investment firm wishing to operate an MTF

(a)

The EEA State in which arrangements are to be made.

4(b)

A description of the arrangements the firm wishes to make.

Note 1: See regulation 17 of the EEA Passport Rights Regulations

Note 2: In this table, the reference to 'relevant motor risks' has the meaning given to motor vehicle liability in Schedule 1 to the Regulated Activities Order.

Note 3: In this table, the reference to 'claims representative' has the meaning given to it in the EEA Passport Rights Regulations.