Status: Please note you should read all Brexit changes to the FCA Handbook and BTS alongside the main FCA transitional directions. Where these directions apply the 'standstill', firms have the choice between complying with the pre-IP completion day rules, or the post-IP completion day rules. To see a full list of Handbook modules affected, please see Annex B to the main FCA transitional directions.

MAR 9.2 Authorisation and verification

Application form and notification form for members of the management body

MAR 9.2.1DRP
  1. (1)

    1Each of the following must complete the forms in (2):

    1. (a)

      an applicant for a data reporting service authorisation;

    2. (b)

      a 3MiFID investment firm operating a trading venue seeking verification of its rights to provide a data reporting service under regulation 5(b) and (c) of the DRS Regulations; and

    3. (c)

      a UK RIE operating a trading venue seeking verification of its rights to provide a data reporting service under regulation 5(d) of the DRS Regulations.

  2. (2)

    The forms in (1) are:

    1. (a)

      the application form at MAR 9 Annex 1D; and

    2. (b)

      the notification form for the list of members of the management body at MAR 9 Annex 2D.

MAR 9.2.2GRP

MAR 9 Annex 1D and MAR 9 Annex 2D are derived from Annex I and Annex II respectively of MiFID ITS 3.

Variation of authorisation form

MAR 9.2.3DRP

1If a data reporting services provider wishes to extend or otherwise vary its data reporting service authorisation it must complete the variation of authorisation form at MAR 9 Annex 3D.

MAR 9.2.4GRP

1MAR 9 Annex 3D requires completion of Annex I of MiFID ITS 3 in the case of an extension of authorisation and, if relevant, Annex II of MiFID ITS 3 if the members of the management body are different from the existing authorised data reporting services provider.

Cancellation of authorisation form

MAR 9.2.5DRP

1If a data reporting services provider wishes to cancel all of its data reporting service authorisation it must complete the cancellation of authorisation form at MAR 9 Annex 4D.

Provision of the forms in MAR 9 Annexes 1D, 2D, 3D and 4D to the FCA

MAR 9.2.6DRP

A person must provide MAR 9 Annexes 1D, 2D, 3D and 4D together with supporting documentation to the FCA by:

  1. (1)

    emailing MiFiDII.Applications@fca.org.uk; or

  2. (2)

    posting to the FCA addressed to:

    The Financial Conduct Authority

    FAO The Authorisations Support Team

    12 Endeavour Square2

    London

    E20 1JN.2