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

Alternative versions

  1. Point in time
    2013-12-30

SUP 15A.1 Application and notifications under EMIR

SUP 15A.1.1GRP

1Where a person intends to rely on article 4(2), 10(2) or 89(2) of EMIR for an exemption from the clearing obligation set out in article 4(1) or 10(1) of EMIR, the person should make their application or notification to the FCA in such manner, and by providing such information, as the FCA directs or requires.

SUP 15A.1.2GRP

Where a person

makes a notification in respect of the obligation set out in article 10(1)(a) of EMIR, the person should make the notification to the FCA in such manner, and by providing such information, as the FCA directs or requires.

SUP 15A.1.3GRP

Where a person intends to rely on article 11(6), (7), (8), 9) or (10) for an exemption from the obligation to implement risk management procedures set out in article 11(3) of EMIR, the person should make their application or notification to the FCA in accordance with EMIR requirements.

SUP 15A.1.4GRP

The FCA may require any information referred to in SUP 15A.1.1 G to SUP 15A.1.3 G above to be provided in such form, or to be verified in such as a way, as the FCA may reasonably direct.

SUP 15A.1.5GRP

At any time after receiving an application or notification for exemption from, or a notification in respect of, EMIR requirements, the FCA may require the person concerned to provide it with such further information as it reasonably considers necessary to enable it to determine the application or consider the notification.