FCA Handbook - MAR 9.3 Notification and information

You are viewing MAR 9.3 Notification and information as of . MAR 9.3 Notification and information was last updated on 05/04/2024.

Rules

Guidance

Deleted

Related resources

MAR 9.3 Notification and information

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

A data reporting services provider must promptly complete the material change in information form at MAR 9 Annex 5R 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

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 6R 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.

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

As 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)
sign the MIS confidentiality agreement at MAR 9 Annex 10R; and
(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 Square
London
E20 1JN.

(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)
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).

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

The 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

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

(1)
A data reporting services provider must complete the yearly notification form in MAR 9 Annex 8D:
(2)
then every year within 3 months of the same date.

For example, if a data reporting services provider’s authorisation commences on 8 April 2024, the data reporting services provider must provide the information in MAR 9 Annex 8R on or before 8 July 2025 and then every year thereafter on or before 8 July of that particular year.

Ad hoc notifications to the FCA

(1)
A data reporting services provider must promptly complete the ad hoc notification form in MAR 9 Annex 9R to notify the FCA in respect of all matters required by the rules in MAR 9.2B.5R(3), MAR 9.2B.6R(4), MAR 9.2B.10R(8) and MAR 9.3.10R(2)
(2)
A data reporting services provider must notify the FCA as soon as reasonably practicable if it considers that it is unable to comply with any rule in this chapter or other regulatory obligation, explaining the reasons why it is unable to comply.

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

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

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

(1)
at MRT@fca.org.uk; or
(2)
by posting it to the FCA, addressed to:
The Financial Conduct Authority
The Markets Reporting Team
12 Endeavour Square
London
E20 1JN.