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MiFID II - Licence application forms

For the licence applications under MiFID II are 2 forms available. One for investment firms and one for data reporting services providers (DRSPs).

The annex to the form contains a description of the information that you must provide with your application, including a checklist with documents that you (usually) have to submit as well. When you submit an application, you have to check whether all required information is actually filled in and included. We also recommend that you read the guideline licence application MiFID II. See also the license application for procedures and requirements.

 

Application form investment firms

The licence application form investment firm MiFID II is intended for applicants that are subject to a licence obligation under MIFID II. This concerns both investment services or activities that already were subject to a license under MiFID I, as well as investment services or activities that are licensed under MiFID II for the first time (such as proprietary traders, who trade in emission rights for their own account or operators of an organised trading facility (OTF).

Application form data reporting services providers

The form Licence application data reporting services providers MiFID II is intended for service providers who apply for a licence as data reporting services provider (DRSP). This is a new category of firms under MiFID II. This category is subdivided into APAs, ARMs and CTPs. An APA has a licence for the publication of transaction reports on behalf of investment firms that settle transactions outside of a trading venue. A CTP, in brief, has a licence for providing services in the field of the collection of market data which are published by trading venues (and via APAs). An ARM has a licence for reporting, on behalf of investment firms, the details of transactions to national supervisors or to ESMA.

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