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SUP 17A.2 Connectivity with FCA systems

SUP 17A.2.1RRP

1The following firms or operators of trading venues must deal with the FCA in an open and co-operative way when establishing a technology connection with the FCA for the submission of transaction reports and/or the supply of reference data:

  1. (1)

    a firm in SUP 17A.1.1R(1) or 17A.1.1R(3) that chooses to submit its reports directly to the FCA instead of using an ARM;

  2. (2)

    an operator of a trading venue in SUP 17A.1.1R(2), other than a UK RIE that is not itself an ARM; and

  3. (3)

    a firm or operator of a trading venue in SUP 17A.1.1R(4), other than a UK RIE.

SUP 17A.2.1AGRP

2The FCA expects a systematic internaliser that will be supplying the FCA with financial instrument reference data in respect of a financial instrument traded on its system that is not admitted to trading on a regulated market or traded on an MTF or OTF to establish a technology connection with the FCA for the supply of that reference data.

SUP 17A.2.1BGRP

2A firm in SUP 17A.1.1.R(4) may use a third party technology provider to submit to the FCA financial instrument reference data in respect of a financial instrument traded on its system provided that it does so in a manner consistent with MiFID and MiFIR. Firms will retain responsibility for the completeness, accuracy and timely submission of the data. A firm should be the applicant for, and should complete and sign, the FCA MDP on-boarding application form.

SUP 17A.2.2RRP

To ensure the security of the FCA’s systems, a firm or operator of a trading venue in SUP 17A.2.1R must:

  1. (1)

    sign the MIS confidentiality agreement at MAR 9 Annex 10D; and

  2. (2)

    send it by 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

    12 Endeavour Square3

    London, E20 1JN3.

SUP 17A.2.3GRP

Once the FCA receives the MIS confidentiality agreement from the firm or operator of a trading venue, the FCA will:

  1. (1)

    provide the firm or operator with the Market Interface Specification (MIS); and

  2. (2)

    request the firm or operator to:

    1. (a)

      confirm to the FCA that it can satisfy these specifications by completing the FCA MDP on-boarding application form at MAR 9 Annex 7D; and

    2. (b)

      provide the completed form and any relevant documents to the FCA together with the associated fee in FEES 3.2.7R.

SUP 17A.2.4RRP

The firm or operator of a trading venue must confirm to the FCA that it can satisfy the FCA’s technical specifications before it can establish a technology connection with the FCA for the submission of transaction reports and/or the supply of reference data.

SUP 17A.2.5GRP

Where an ARM is used to satisfy a MiFID investment firm’s or a third country investment firm’s transaction reporting obligations in accordance with article 26 of MiFIR or GEN 2.2.22AR, MAR 9 applies.