Related provisions for SUP 17.3.6
1 - 7 of 7 items.
1This
chapter applies to:(1) a MiFID
investment firm;(2) a third country investment firm; and to(3) a person who
is the operator of an approved reporting
mechanism or of a regulated
market or MTF that
is used by a firm to report transactions to the FCA; and(4) a firm acting in its capacity as
a manager or operator of:(a) a collective investment undertaking;
or(b) a pension
scheme; or(c) an occupational
pension scheme; or(d) a personal
pension scheme; or(e) a stakeholder
pension
Q. Does an investment firm need to be authorised as an ARM to send transaction reports to the FCA?
A. No. If you are a MiFID investment firm that wishes to send transaction reports to us to satisfy your own transaction reporting obligations under MiFIR, you do not need to become authorised as an ARM. You are permitted to connect directly to us although there will be a requirement to sign a MIS confidentiality agreement with us, to satisfy connectivity requirements and to undertake
1This chapter applies to:(1) a MiFID investment firm (excluding a collective portfolio management investment firm) which:(a) executes transactions in a reportable financial instrument; and(b) is required under article 26(1) of MiFIR to report its transactions to the FCA;(2) an operator of a trading venue:(a) through whose systems and platforms a transaction in a reportable financial instrument is executed by a person not subject to MiFIR; and(b) which is required under article