DRSP authorisation and supervision forms

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 7 of the Data Reporting Services Regulations 2017.

Operators of trading venues who wish to apply to operate a DRSP through verification under Regulation 8 of the Data Reporting Services Regulations 2017.

MAR 9.2.1D-MAR 9.2.2 G; 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 7 of the Data Reporting Services Regulations 2017.

Operators of trading venues who wish to apply to operate a DRSP through verification under Regulation 8 of the Data Reporting Services Regulations 2017.

MAR 9.2.1D-MAR 9.2.2 G; MAR 9.2.6D

MAR 9 Annex 3 Variation of Authorisation of a Data Reporting Services Provider (DRSP)

Existing DRSPs who wish to:

• vary its authorisation to provide one or more additional data reporting services in accordance with Regulation 12(1) of the Data Reporting Services Regulations 2017 or
• vary its authorisation to remove one or more data reporting services in accordance with Regulation 12(1) of the Data Reporting Services Regulations 2017, where at least one data reporting service will continue to be provided going forward.

MAR 9.2.3D-MAR 9.2.4 G; MAR 9.2.6D

MAR 9 Annex 4 Cancellation of Authorisation of a Data Reporting Services Provider (DRSP)

Existing DRSPs who wish to cancel its data reporting services authorisation in accordance with Regulation 11(1)(b) of the Data Reporting Services Regulations 2017, for the purpose of ceasing provision of ALL data reporting services.

MAR 9.2.5 D; MAR 9.2.6D

MAR 9 Annex 6 Notification form for changes to the membership of the management body

Existing DRSPs who wish 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 9.3.2 D - MAR 9.3.3G; MAR 9.3.12D

MAR 9 Annex 5 Material Change in information for a Data Reporting Services Provider (DRSP)

Existing DRSPs who wish 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 9.3.1D; MAR 9.3.12D

MAR 9 Annex 9 
Data Reporting Services Provider (DRSP) Ad hoc notification

Existing DRSPs who wish to notify us in respect of all matters required by the onshored RTS 13.

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 9.3.10 D – MAR 9.3.11G; MAR 9.3.12D

MAR 9 Annex 8 Yearly Notification Form for a Data Reporting Service Provider (DRSP)

Existing DRSPs to notify us of its on-going compliance with the Data Reporting Services Regulations 2017 and the information provided at the time of authorisation and thereafter in accordance with the onshored RTS 13.

MAR 9.3.8 D – MAR 9.3.9G; MAR 9.3.12D

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[2]

MAR 9.3.4 D – 9.3.7 G and MAR 9.5.5 G