MAR 9.3 Notification and information

Notification to the FCA of material changes in information provided at the time of authorisation

MAR 9.3.1RRP

1A data reporting services provider must promptly complete the material change in information form at MAR 9 Annex 5D to inform the FCA of any material change to the information provided at the time of its authorisation.

Notification to the FCA of change to membership of management body

MAR 9.3.2GRP

1 A data reporting services provider must promptly complete the notification form for changes to the membership of the management body form at MAR 9 Annex 6D to inform the FCA of any change to the membership of its management body before any change to the membership of its management body or when this is impossible within 10 working days after the change.

MAR 9.3.3GRP

1MAR 9 Annex 6D is derived from Annex III of MiFID ITS 3.

Notification to the FCA by an APA or a CTP of compliance with connectivity requirements

MAR 9.3.4DRP

1As soon as possible and within 2 weeks of being authorised as an APA or a CTP, an APA or a CTP seeking a connection to the FCA’s market data processor system must:

  1. (1)

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

  2. (2)

    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 1JN.3

MAR 9.3.5GRP
  1. (1)

    To ensure the security of the FCA’s systems, the FCA requires an APA or a CTP to sign the MIS confidentiality agreement before receiving the FCA’s Market Interface Specification (MIS).

  2. (2)

    Once the FCA receives the MIS confidentiality agreement from the APA or the CTP, the FCA will provide the APA or the CTP with Market Interface Specification (MIS).

MAR 9.3.6DRP

An APA or a CTP seeking a connection to the FCA’s market data processor system must complete the form at MAR 9 Annex 7D as soon as possible and no later than 4 weeks following authorisation as an APA or a CTP.

MAR 9.3.7GRP

1The FCA expects an APA or a CTP to deal with it in an open and co-operative way in order to establish a technology connection for the provision of data to the FCA as required by article 22 of MiFIR.

Yearly notifications to the FCA

MAR 9.3.8GRP

1 A data reporting services provider must complete the yearly notification form in MAR 9 Annex 8D:

  1. (1)

    within 3 months of the 12 month anniversary of the commencement of its authorisation; and

  2. (2)

    then every year within 3 months of the same date.

MAR 9.3.9GRP

1For example, if a data reporting services provider’s authorisation commences on 3 January 2018, the data reporting services provider must provide the information in MAR 9 Annex 8D on or before 3 April 2019 and then every year thereafter on or before 3 April of that particular year.

Ad hoc notifications to the FCA

MAR 9.3.10DRP

A data reporting services provider must promptly complete the ad hoc notification form in MAR 9 Annex 9D to notify the FCA in respect of all matters required by MiFID RTS 13.

MAR 9.3.11GRP

Information to be provided in MAR 9 Annex 9D includes information relating to 2breaches in physical and electronic security measures and service interruptions or connection disruptions.

Provision of the forms in MAR 9 Annexes 5D, 6D, 7D, 8D and 9D to the FCA

MAR 9.3.12DRP

A data reporting services provider must promptly provide the forms in MAR 9 Annexes 5D, 6D, 7D, 8D and 9D and supporting documentation to the FCA:

  1. (1)

    at MRT@fca.org.uk; or

  2. (2)

    by posting it to the FCA, addressed to:

    The Financial Conduct Authority

    The Markets Reporting Team

    12 Endeavour Square3

    London

    E20 1JN.3