MAR 9.2 Authorisation and verification
Application form and notification form for members of the management body
- (1)
1Each of the following must complete the forms in (2):
- (a)
an applicant for a data reporting service authorisation;
- (b)
a UK MiFID 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
- (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.
- (a)
- (2)
The forms in (1) are:
- (a)
the application form at MAR 9 Annex 1D; and
- (b)
the notification form for the list of members of the management body at MAR 9 Annex 2D.
- (a)
MAR 9 Annex 1D and MAR 9 Annex 2D are derived from Annex I and Annex II respectively of MiFID ITS 3.
Provision of the forms in MAR 9 Annexes 1D, 2D, 3D and 4D to the FCA
A person must provide MAR 9 Annexes 1D, 2D, 3D and 4D together with supporting documentation to the FCA by:
- (1)
emailing MiFiDII.Applications@fca.org.uk; or
- (2)
posting to the FCA addressed to:
The Financial Conduct Authority
FAO The Authorisations Support Team
25 The North Colonnade
Canary Wharf
London E14 5HS