Related provisions for SUP 17.3.6

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To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

MAR 9.5.6GRP
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 or a third country investment firm subject to a similar obligation pursuant to GEN 2.2.22AR2, 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
SUP 17A.1.1RRP
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
3To the extent that a firm4 has provided the information required by FEES 4.4.7 D to the FCA as part of its compliance with another provision of the Handbook, it is deemed to have complied with the provisions of that direction.444