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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.

You are viewing the version of the document as on 2021-01-01.

Status: In this content, we have included all amendments made by EU exit-related instruments up to end September 2020. There will be more amendments to be made later this year, further to the September QCP.

ANNEX II Template for the written minutes and notes referred to in Article 6(2)(d) of Delegated Regulation (EU) 2016/960 where no inside information is disclosed

Item

Text field

Full names of the disclosing market participant and of the person within the disclosing market participant providing the information and the contact details used for the communication.

Full name of the person receiving the communication and the contact details used for the communication.

Date and time(s) of the communication specifying the time zone.

Record of the statement that the communication takes place for the purposes of a market sounding.

Record of the information about the confirmation from the contacted person that the disclosing market participant is communicating with the person entrusted by the potential investor to receive the market sounding.

Record of the statement clarifying that, if agreeing to receive the market sounding, the person receiving the communication of information will receive information which the disclosing market participant does not consider inside information and a reference to the obligation set forth in Article 11(7) of Regulation (EU) No 596/2014.

Record of the information about the consent of the person receiving the market sounding to proceed with the market sounding (request and reply).

Description of the information disclosed for the purposes of the market sounding.