We have a number of MAR 9 forms to help your application process. Find out about the different data reporting services providers (DRSP) authorisation and supervision documents you may need.
The DRSP authorisation and supervision forms can be accessed in Chapter 9 of the Market Conduct sourcebook.
| Name of form | What it is for | Applicable MAR 9 provisions |
|---|---|---|
| MAR 9 Annex 1 Application form to provide the service of an ARM and/or APA and/or CTP |
A person who wishes to apply for authorisation as a DRSP under Regulation 5 of the Data Reporting Services Regulations 2024. Operators of trading venues who wish to apply to operate a DRSP through verification under Regulation 7 of the Data Reporting Services Regulations 2024. |
MAR 9.2.1D; MAR 9.2.6D |
| MAR 9 Annex 2 Notification form for list of members of a management body |
A person who wishes to apply for authorisation as a DRSP under Regulation 5 of the Data Reporting Services Regulations 2024. Operators of trading venues who wish to apply to operate a DRSP through verification under Regulation 7 of the Data Reporting Services Regulations 2024. |
MAR 9.2.1D; MAR 9.2.6D |
| MAR 9 Annex 3 Variation of Authorisation of a Data Reporting Services Provider (DRSP) |
A DSRP who wishes to:
|
MAR 9.2.3D; MAR 9.2.6D |
| MAR 9 Annex 4 Cancellation of Authorisation of a Data Reporting Services Provider (DRSP) | A DRSP who wishes to cancel its data reporting services authorisation in accordance with Regulation 10(1)(a) of the Data Reporting Services Regulations 2024, for the purpose of ceasing provision of ALL data reporting services. |
MAR 9.2.5A; MAR 9.2.5D; MAR 9.2.6D |
| MAR 9 Annex 6 Notification form for changes to the membership of the management body | A DRSP who wishes to notify any change to the membership of its management body before such change takes effect, or where this is impossible, within 10 working days after the change. | MAR 9.3.2R; MAR 9.3.12R |
| MAR 9 Annex 5 Material Change in information for a Data Reporting Services Provider (DRSP) |
A DRSP who wishes to: Notify us of a change of the name or address of the DRSP, and notify us before implementation, where possible of a material change in information provided at time of authorisation. This includes the outsourcing of any critical function; in respect of ARMs this includes use of data centres outside of the UK and planned significant changes to a DRSP’s IT system. |
MAR 9.3.1R; MAR 9.3.12R |
| MAR 9 Annex 9 Data Reporting Services Provider (DRSP) Ad hoc notification |
A DRSP who wishes to notify us in respect of all matters required by the the rules in MAR 9.2B.5R(3), MAR 9.2B.6R(4), MAR 9.2B.10R(8) and MAR 9.3.10R(2). Information to be notified using this form includes breaches in physical and electronic security measures and service interruptions or connection disruptions and, in the case of ARMs, errors or omissions in the transaction report caused by the ARM. |
MAR 9.3.10R – MAR 9.3.11G; MAR 9.3.12R |
| MAR 9 Annex 8 Yearly Notification Form for a Data Reporting Service Provider (DRSP) | A DRSP who wishes to notify us of its on-going compliance with the Data Reporting Services Regulations 2024 and the relevant provisions of MAR and SYSC and the information provided at the time of authorisation and thereafter is in accordance with MAR 9.2.1D and MAR 9.3.1R. | MAR 9.3.8R – MAR 9.3.9G; MAR 9.3.12R |
|
MAR 9 Annex 10 MIS confidentiality agreement MAR 9 Annex 7 FCA MDP on-boarding application form |
Please refer to the Market data reporting and MDP page | MAR 9.3.4R – 9.3.7G and MAR 9.5.5G; MAR 9.3.12R |