Home FCA Handbook SUP SUP 17A SUP 17A.2 Connectivity with FCA systems
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SUP 17A.2 Connectivity with FCA systems

03/07/2017R

The following firms or operators of trading venues must deal with the FCA in an open and co-operative way when establishing a technology connection with the FCA for the submission of transaction reports and/or the supply of reference data:

  1. (1)

    a firm in SUP 17A.1.1R(1) or 17A.1.1R(3) that chooses to submit its reports directly to the FCA instead of using an ARM;

  2. (2)

    an operator of a trading venue in SUP 17A.1.1R(2), other than a UK RIE that is not itself an ARM; and

  3. (3)

    a firm or operator of a trading venue in SUP 17A.1.1R(4), other than a UK RIE.

01/12/2025G

The FCA expects an equity systematic internaliser that will be supplying the FCA with financial instrument reference data in respect of a financial instrument traded on its system that is not admitted to trading on a regulated market or traded on an MTF or OTF to establish a technology connection with the FCA for the supply of that reference data.

03/07/2017G

A firm in SUP 17A.1.1.R(4) may use a third party technology provider to submit to the FCA financial instrument reference data in respect of a financial instrument traded on its system provided that it does so in a manner consistent with MiFID and MiFIR. Firms will retain responsibility for the completeness, accuracy and timely submission of the data. A firm should be the applicant for, and should complete and sign, the FCA MDP on-boarding application form.

01/07/2018R

To ensure the security of the FCA’s systems, a firm or operator of a trading venue in SUP 17A.2.1R must:

  1. (1)

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

  2. (2)

    send it by 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.

03/07/2017G

Once the FCA receives the MIS confidentiality agreement from the firm or operator of a trading venue, the FCA will:

  1. (1)

    provide the firm or operator with the Market Interface Specification (MIS); and

  2. (2)

    request the firm or operator to:

    1. (a)

      confirm to the FCA that it can satisfy these specifications by completing the FCA MDP on-boarding application form at MAR 9 Annex 7D; and

    2. (b)

      provide the completed form and any relevant documents to the FCA together with the associated fee in FEES 3.2.7R.

03/07/2017R

The firm or operator of a trading venue must confirm to the FCA that it can satisfy the FCA’s technical specifications before it can establish a technology connection with the FCA for the submission of transaction reports and/or the supply of reference data.

03/07/2017G

Where an ARM is used to satisfy a MiFID investment firm’s or a third country investment firm’s transaction reporting obligations in accordance with article 26 of MiFIR or GEN 2.2.22AR, MAR 9 applies.