Related provisions for SUP 17.3.6
1 - 5 of 5 items.
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
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