What changed, Commission Implementing Regulation (EU) 2017/2382 of 14 December 2017 laying down implementing technical stand…

+ **1.** This Regulation shall apply to investment firms and market operators operating a multilateral trading facility (MTF) or an organised trading facility (OTF).
− 1. This Regulation shall apply to investment firms and market operators operating a multilateral trading facility (MTF) or an organised trading facility (OTF).
+ **2.** This Regulation shall also apply to credit institutions authorised under Directive 2013/36/EU which provide one or more investment services or perform investment activities under Directive 2014/65/EU, and wish to use tied agents under any of the following rights:
− 2. This Regulation shall also apply to credit institutions authorised under Directive 2013/36/EU which provide one or more investment services or perform investment activities under Directive 2014/65/EU, and wish to use tied agents under any of the following rights:
+ **1.** Any notification or communication submitted under this Regulation shall be provided in an official Union language accepted by both the competent authority of the home Member State and by the competent authority of the host Member State.
− 1. Any notification or communication submitted under this Regulation shall be provided in an official Union language accepted by both the competent authority of the home Member State and by the competent authority of the host Member State.
+ **2.** The competent authorities shall make publicly available information on the accepted language(s) and means of submission, including contact details for passport notifications.
− 2. The competent authorities shall make publicly available information on the accepted language(s) and means of submission, including contact details for passport notifications.
+ **1.** An investment firm shall submit to the competent authority of the home Member State an investment services and activities passport notification pursuant to Article 34(2) or (5) of Directive 2014/65/EU the form set out in Annex I.
− 1. An investment firm shall submit to the competent authority of the home Member State an investment services and activities passport notification pursuant to Article 34(2) or (5) of Directive 2014/65/EU the form set out in Annex I.
+ **2.** An investment firm shall submit, for each Member State in which it intends to operate, a separate investment services and activities passport notification to the competent authority of the home Member State pursuant to paragraph 1.
− 2. An investment firm shall submit, for each Member State in which it intends to operate, a separate investment services and activities passport notification to the competent authority of the home Member State pursuant to paragraph 1.
+ **3.** An investment firm or a credit institution referred to in Article 1(2)(a) wishing to provide investment services or activities through a tied agent established in the home Member State shall submit an investment services and activities passport notification to the competent authority of the h…
− 3. An investment firm or a credit institution referred to in Article 1(2)(a) wishing to provide investment services or activities through a tied agent established in the home Member State shall submit an investment services and activities passport notification to the competent authority of the home …
+ **1.** On receipt of an investment services and activities passport notification pursuant to Article 3, the competent authority of the home Member State shall assess the completeness and accuracy of the information provided.
− 1. On receipt of an investment services and activities passport notification pursuant to Article 3, the competent authority of the home Member State shall assess the completeness and accuracy of the information provided.
+ **2.** Where the information provided is found to be incomplete or incorrect, the competent authority of the home Member State shall, without undue delay, inform the investment firm or credit institution referred to in Article 1(2)(a) thereof. The competent authority of the home Member State shall i…
− 2. Where the information provided is found to be incomplete or incorrect, the competent authority of the home Member State shall, without undue delay, inform the investment firm or credit institution referred to in Article 1(2)(a) thereof. The competent authority of the home Member State shall indic…
+ **3.** The 1-month period referred to in Article 34(3) and in the second subparagraph of Article 34(5) of Directive 2014/65/EU shall begin upon receipt of an investment services and activities passport notification containing information that is found to be complete and correct.
− 3. The 1-month period referred to in Article 34(3) and in the second subparagraph of Article 34(5) of Directive 2014/65/EU shall begin upon receipt of an investment services and activities passport notification containing information that is found to be complete and correct.
+ **1.** The competent authority of the home Member State shall, within 1 month of receiving a notification pursuant to Article 3, inform the competent authority of the host Member State of that notification, using the form set out in Annex II, together with a copy of the notification.
− 1. The competent authority of the home Member State shall, within 1 month of receiving a notification pursuant to Article 3, inform the competent authority of the host Member State of that notification, using the form set out in Annex II, together with a copy of the notification.
+ **2.** The competent authority of the home Member State shall, without undue delay, inform the investment firm or the credit institution referred to in Article 1(2)(a) about the onward communication pursuant to paragraph 1, including the date of that communication.
− 2. The competent authority of the home Member State shall, without undue delay, inform the investment firm or the credit institution referred to in Article 1(2)(a) about the onward communication pursuant to paragraph 1, including the date of that communication.
+ **1.** In the event of a change in any of the particulars of an investment services and activities passport notification, the investment firm or credit institution referred to in Article 1(2)(a) shall submit a notification to the competent authority of the home Member State using the form set out in…
− 1. In the event of a change in any of the particulars of an investment services and activities passport notification, the investment firm or credit institution referred to in Article 1(2)(a) shall submit a notification to the competent authority of the home Member State using the form set out in Ann…
+ **2.** For the purposes of the notification pursuant to paragraph 1 of this Article, the investment firm or credit institution referred to in Article 1(2)(a) shall complete only those parts of the form set out in Annex I relevant to the changes in the particulars of the investment services and activ…
− 2. For the purposes of the notification pursuant to paragraph 1 of this Article, the investment firm or credit institution referred to in Article 1(2)(a) shall complete only those parts of the form set out in Annex I relevant to the changes in the particulars of the investment services and activitie…
+ **3.** For the purposes of the notification of changes related to the investment services, activities, ancillary services or financial instruments provided, the investment firm or credit institution referred to in Article 1(2)(a) shall list all the investment services, activities, ancillary services…
− 3. For the purposes of the notification of changes related to the investment services, activities, ancillary services or financial instruments provided, the investment firm or credit institution referred to in Article 1(2)(a) shall list all the investment services, activities, ancillary services or …
+ **1.** After receiving a notification pursuant to Article 6, the competent authority of the home Member State shall, without undue delay, communicate the notified changes to the competent authority of the host Member State, using the form set out in Annex III, together with a copy of the notificatio…
− 1. After receiving a notification pursuant to Article 6, the competent authority of the home Member State shall, without undue delay, communicate the notified changes to the competent authority of the host Member State, using the form set out in Annex III, together with a copy of the notification pu…
+ **2.** In the event that the authorisation of an investment firm or credit institution is withdrawn or cancelled, the competent authority of the home Member State shall notify the competent authority of the host Member State, using the form set out in Annex III.
− 2. In the event that the authorisation of an investment firm or credit institution is withdrawn or cancelled, the competent authority of the home Member State shall notify the competent authority of the host Member State, using the form set out in Annex III.
+ **1.** The competent authority of the home Member State shall, within 1 month of receiving the notification pursuant to Article 8, inform the competent authority of the host Member State of that notification, using the form set out in Annex V, together with a copy of the notification.
− 1. The competent authority of the home Member State shall, within 1 month of receiving the notification pursuant to Article 8, inform the competent authority of the host Member State of that notification, using the form set out in Annex V, together with a copy of the notification.
+ **2.** The competent authority of the home Member State shall, without undue delay, inform the investment firm or the market operator operating an MTF or an OTF about the onward communication pursuant to paragraph 1, including the date of that communication.
− 2. The competent authority of the home Member State shall, without undue delay, inform the investment firm or the market operator operating an MTF or an OTF about the onward communication pursuant to paragraph 1, including the date of that communication.
+ **1.** In case of a change in any of the particulars of a notification for the provision of arrangements to facilitate access to an MTF or an OTF, the investment firm or the market operator operating an MTF or an OTF shall submit a notification to the competent authority of the home Member State usi…
− 1. In case of a change in any of the particulars of a notification for the provision of arrangements to facilitate access to an MTF or an OTF, the investment firm or the market operator operating an MTF or an OTF shall submit a notification to the competent authority of the home Member State using t…
+ **2.** For the purposes of the notification pursuant to paragraph 1, the investment firm or the market operator operating an MTF or an OTF shall complete only those parts of the form set out in Annex IV relevant to the changes in the particulars of the notification for the provision of arrangements …
− 2. For the purposes of the notification pursuant to paragraph 1, the investment firm or the market operator operating an MTF or an OTF shall complete only those parts of the form set out in Annex IV relevant to the changes in the particulars of the notification for the provision of arrangements to f…
+ **1.** An investment firm or a credit institution referred to in Article 1(2)(b) wishing to use a tied agent established in another Member State shall submit to the competent authority of the home Member State the information as required by Article 35(2) of Directive 2014/65/EU, using the form set o…
− 1. An investment firm or a credit institution referred to in Article 1(2)(b) wishing to use a tied agent established in another Member State shall submit to the competent authority of the home Member State the information as required by Article 35(2) of Directive 2014/65/EU, using the form set out i…
+ **2.** Where an investment firm or credit institution referred to in Article 1(2)(b) wishes to use more than one tied agents in another Member State it shall complete a separate notification in respect of each tied agent it intends to use.
− 2. Where an investment firm or credit institution referred to in Article 1(2)(b) wishes to use more than one tied agents in another Member State it shall complete a separate notification in respect of each tied agent it intends to use.
+ **3.** An investment firm wishing to establish a branch which intends to use tied agents shall submit to the competent authority of the home Member State a separate tied agent passport notification in respect of each tied agent by completing the form set out in Annex VII.
− 3. An investment firm wishing to establish a branch which intends to use tied agents shall submit to the competent authority of the home Member State a separate tied agent passport notification in respect of each tied agent by completing the form set out in Annex VII.
+ **1.** Upon receipt of a notification pursuant to Article 12 or 13, the competent authority of the home Member State shall assess the completeness and accuracy of the information provided.
− 1. Upon receipt of a notification pursuant to Article 12 or 13, the competent authority of the home Member State shall assess the completeness and accuracy of the information provided.
+ **2.** Where the information provided is found to be incomplete or incorrect, the competent authority of the home Member State shall, without undue delay, inform the investment firm or the credit institutions referred to in Article 1(2)(b) thereof. The competent authority of the home Member State sh…
− 2. Where the information provided is found to be incomplete or incorrect, the competent authority of the home Member State shall, without undue delay, inform the investment firm or the credit institutions referred to in Article 1(2)(b) thereof. The competent authority of the home Member State shall …
+ **3.** The 3-month period provided for in Article 35(3) and in the second subparagraph of Article 35(7) of Directive 2014/65/EU shall begin upon receipt of a branch passport notification or tied agent passport notification containing information that is found to be complete and correct.
− 3. The 3-month period provided for in Article 35(3) and in the second subparagraph of Article 35(7) of Directive 2014/65/EU shall begin upon receipt of a branch passport notification or tied agent passport notification containing information that is found to be complete and correct.
+ **1.** The competent authority of the home Member State shall, within 3 months of receiving the branch passport notification pursuant to Article 12, inform the competent authority of the host Member State of that notification, using the form set out in Annex VIII, together with a copy of the notific…
− 1. The competent authority of the home Member State shall, within 3 months of receiving the branch passport notification pursuant to Article 12, inform the competent authority of the host Member State of that notification, using the form set out in Annex VIII, together with a copy of the notificatio…
+ **2.** The competent authority of the home Member State shall, without undue delay, inform the investment firm about the onward communication pursuant to paragraph 1, including the date of that communication.
− 2. The competent authority of the home Member State shall, without undue delay, inform the investment firm about the onward communication pursuant to paragraph 1, including the date of that communication.
+ **3.** The competent authority of the host Member State shall acknowledge receipt of the notification both to the competent authority of the home Member State and the investment firm.
− 3. The competent authority of the host Member State shall acknowledge receipt of the notification both to the competent authority of the home Member State and the investment firm.
+ **1.** The competent authority of the home Member State shall, within 3 months of receiving the tied agent passport notification pursuant to Article 13, inform the competent authority of the host Member State of that notification, using the form set out in Annex IX, together with a copy of the notif…
− 1. The competent authority of the home Member State shall, within 3 months of receiving the tied agent passport notification pursuant to Article 13, inform the competent authority of the host Member State of that notification, using the form set out in Annex IX, together with a copy of the notificat…
+ **2.** The competent authority of the home Member State shall, without undue delay, inform the investment firm or credit institution about the onward communication pursuant to paragraph 1, including the date of that communication.
− 2. The competent authority of the home Member State shall, without undue delay, inform the investment firm or credit institution about the onward communication pursuant to paragraph 1, including the date of that communication.
+ **3.** The competent authority of the host Member State shall acknowledge receipt of the notification both to the competent authority of the home Member State and the investment firm or credit institution referred to in Article 1(2)(b).
− 3. The competent authority of the host Member State shall acknowledge receipt of the notification both to the competent authority of the home Member State and the investment firm or credit institution referred to in Article 1(2)(b).
+ **4.** The tied agent shall not commence its proposed investment services or activities before it is registered in the public register in the Member State where that tied agent is established, in accordance with Article 29(3) of Directive 2014/65/EU.
− 4. The tied agent shall not commence its proposed investment services or activities before it is registered in the public register in the Member State where that tied agent is established, in accordance with Article 29(3) of Directive 2014/65/EU.
+ **5.** The tied agent shall not commence its proposed investment services or activities before it has received the communication from the competent authority of the host Member State.
− 5. The tied agent shall not commence its proposed investment services or activities before it has received the communication from the competent authority of the host Member State.
+ **6.** Where such a communication is not made, the tied agent can commence its proposed investment services and activities 2 months after the date of submission of the communication by the competent authority of the home Member State, as referred to in paragraph 2.
− 6. Where such a communication is not made, the tied agent can commence its proposed investment services and activities 2 months after the date of submission of the communication by the competent authority of the home Member State, as referred to in paragraph 2.
+ **1.** In the event of a change in the particulars of a branch passport notification, the investment firm shall submit to the competent authority of the home Member State a notification using the form set out in Annex VI.
− 1. In the event of a change in the particulars of a branch passport notification, the investment firm shall submit to the competent authority of the home Member State a notification using the form set out in Annex VI.
+ **2.** Where the investment firm or credit institution intends to make changes to the investment services, activities, ancillary services or financial instruments provided through tied agents, it shall notify, using the form set out in Annex VI, a list of all the investment services, activities, anc…
− 2. Where the investment firm or credit institution intends to make changes to the investment services, activities, ancillary services or financial instruments provided through tied agents, it shall notify, using the form set out in Annex VI, a list of all the investment services, activities, ancilla…
+ **3.** Changes to the particulars of a branch passport notification concerning the termination of the operation of the branch shall be notified using the form set out in Annex X.
− 3. Changes to the particulars of a branch passport notification concerning the termination of the operation of the branch shall be notified using the form set out in Annex X.
+ **1.** In the event of a change in any of the particulars of a tied agent passport notification, the investment firm or the credit institution referred to in Article 1(2)(b) shall submit to the competent authority of the home Member State a notification, using the form set out in Annex VII.
− 1. In the event of a change in any of the particulars of a tied agent passport notification, the investment firm or the credit institution referred to in Article 1(2)(b) shall submit to the competent authority of the home Member State a notification, using the form set out in Annex VII.
+ **2.** Where the investment firm intends to make changes to the investment services, activities, or financial instruments subject to a tied agent passport notification, it shall notify, in the form set out in Annex VI, a list of all the investment services, activities, or financial instruments that …
− 2. Where the investment firm intends to make changes to the investment services, activities, or financial instruments subject to a tied agent passport notification, it shall notify, in the form set out in Annex VI, a list of all the investment services, activities, or financial instruments that it p…
+ **3.** Changes to the particulars of a tied agent passport notification concerning the cessation of the use of a tied agent established in another Member State shall be notified using the form set out in Annex X.
− 3. Changes to the particulars of a tied agent passport notification concerning the cessation of the use of a tied agent established in another Member State shall be notified using the form set out in Annex X.
+ **1.** After receiving a notification pursuant to Article 17(1), the competent authority of the home Member State shall, without undue delay, communicate the notified changes to the competent authority of the host Member State, using the form set out in Annex XI, together with a copy of the notifica…
− 1. After receiving a notification pursuant to Article 17(1), the competent authority of the home Member State shall, without undue delay, communicate the notified changes to the competent authority of the host Member State, using the form set out in Annex XI, together with a copy of the notification…
+ **2.** After receiving a notification pursuant to Article 17(3), the competent authority of the home Member State shall, without undue delay, communicate the notified changes to the competent authority of the host Member State, using the form set out in Annex XIII, together with a copy of the notifi…
− 2. After receiving a notification pursuant to Article 17(3), the competent authority of the home Member State shall, without undue delay, communicate the notified changes to the competent authority of the host Member State, using the form set out in Annex XIII, together with a copy of the notificati…
+ **1.** After receiving a notification pursuant to Article 18(1), the competent authority of the home Member State shall, without undue delay, communicate the notified changes to the competent authority of the host Member State, using the form set out in Annex XII, together with a copy of the notific…
− 1. After receiving a notification pursuant to Article 18(1), the competent authority of the home Member State shall, without undue delay, communicate the notified changes to the competent authority of the host Member State, using the form set out in Annex XII, together with a copy of the notificatio…
+ **2.** After receiving a notification pursuant to Article 18(3), the competent authority of the home Member State shall, without undue delay, communicate the notified changes to the competent authority of the host Member State, using the form set out in Annex XIII, together with a copy of the notifi…
− 2. After receiving a notification pursuant to Article 18(3), the competent authority of the home Member State shall, without undue delay, communicate the notified changes to the competent authority of the host Member State, using the form set out in Annex XIII, together with a copy of the notificati…
+ 
+ ### ANNEX I
+ 
+ Form for the investment services and activities passport notification and the change ofinvestment services and activities particulars notification (1)
+ 
+ (Articles 3 and 6 of Commission Implementing Regulation (EU) 2017/2382)
+ 
+ Reference number:
+ 
+ Date:
+ 
+ Part 1 — Contact Information
+ 
+ Type of notification:
+ 
+ Investment services and activities passport notification/change of investment services and activities particulars notification
+ 
+ Member State in which the investment firm/credit institution intends to operate:
+ 
+ Name of investment firm/credit institution:
+ 
+ Trading name
+ 
+ Address:
+ 
+ Telephone number:
+ 
+ Email:
+ 
+ Name of the contact person at the investment firm/credit institution:
+ 
+ Home Member State
+ 
+ Authorisation Status:
+ 
+ Authorised by [Home Member State Competent Authority]
+ 
+ Authorisation Date:
+ 
+ Part 2 — Programme of operations
+ 
+ Intended investment services, activities and ancillary services (*)
+ 
+ Investment services and activities
+ 
+ Ancillary services
+ 
+ A1
+ 
+ A2
+ A3
+ 
+ A4
+ 
+ A5
+ 
+ A6
+ 
+ A7
+ 
+ A8
+ 
+ A9
+ 
+ B1
+ 
+ B2
+ 
+ B3
+ 
+ B4
+ 
+ B5
+ 
+ B6
+ 
+ B7
+ 
+ Financial Instruments
+ 
+ C1
+ 
+ C2
+ 
+ C3
+ 
+ C4
+ 
+ C5
+ 
+ C6
+ 
+ C7
+ 
+ C8
+ 
+ C9
+ 
+ C10
+ 
+ C11
+ 
+ (*) Please place an (x) in the appropriate boxes.
+ 
+ (1) For the purposes of a change of investment services and activities particulars notification please complete only the parts of the form which are relevant to the notified changes. If the intention is to make changes to the investment services, activities, ancillary services or financial instrumen…
+ 
+ Details of Tied Agent located in the home Member State (*)
+ 
+ Name of thetied agent
+ 
+ Address
+ 
+ Telephone
+ 
+ Email
+ 
+ Contact
+ 
+ (*) Please provide separate matrices with the intended investment services for each tied agent the investment firm intends to use.
+ 
+ Intended investment services to be provided by the tied agent (*)
+ 
+ Investment services and activities
+ 
+ Ancillary services
+ 
+ A1
+ 
+ A2
+ 
+ A3
+ 
+ A4
+ 
+ A5
+ 
+ A6
+ 
+ A7
+ 
+ A8
+ 
+ A9
+ 
+ B1
+ 
+ B2
+ 
+ B3
+ 
+ B4
+ 
+ B5
+ 
+ B6
+ 
+ B7
+ 
+ Financial Instruments
+ 
+ C1
+ 
+ C2
+ 
+ C3
+ 
+ C4
+ 
+ C5
+ 
+ C6
+ 
+ C7
+ 
+ C8
+ 
+ C9
− This Regulation shall be binding in its entirety and directly applicable in all Member States.
+ C10
− ### ANNEX I
+ C11
+ (*) Please place an (x) in the appropriate box(es). If you intend to make changes to the investment services, activities or financial instruments provided by the tied agent, please list all investment services, activities or financial instruments the tied agent will provide.
+ 
+ Form for the communication regarding an investment services and activities passportnotification by the competent authority of the home Member State to the competent authorityof the host Member State
+ 
+ (Article 5 of Commission Implementing Regulation (EU) 2017/2382)
+ Reference number:
+ Date:
+ Communication in accordance with Article 34(3) of Directive 2014/65/EU (1)
+ 
+ FROM:
+ 
+ Member State:
+ 
+ Competent authority of the home Member State:
+ 
+ Address:
+ 
+ Designated contact point:
+ 
+ Telephone number:
+ 
+ Email:
+ 
+ TO:
+ 
+ Member State:
+ 
+ Competent Authority of the host Member State:
+ 
+ Address:
+ 
+ Designated contact point:
+ 
+ Telephone number:
+ 
+ Email:
+ 
+ In accordance with Article 34(3) of the Directive 2014/65/EU, we wish to inform you that [Name of firm], (1) an investment firm authorised by [name of the competent authority of the home Member State], intends to provide the investment services and/or investment activities as well as ancillary servi…
+ 
+ If you have any queries, please do not hesitate to contact us.
+ 
+ Yours sincerely,
+ 
+ [Signature]
+ 
+ (1) Please amend as appropriate.
+ 
+ 
+ Form for the communication of a change in the particulars of an investment services and activitiespassport notification or in a notification for the provision of arrangements to facilitate access to an MTF or OTF by the competent authority of the home Member State to the competent authority of the h…
+ 
+ (Articles 7 and 8 of Commission Implementing Regulation (EU) 2017/2382)
+ 
+ Reference number:
+ 
+ Date:
+ 
+ Communication in accordance with Article 34(4) or Article 34(7) of Directive 2014/65/EU (1)
+ 
+ FROM:
+ 
+ Member State:
+ 
+ Competent authority of the home Member State:
+ 
+ Address:
+ 
+ Designated contact point:
+ 
+ Telephone number:
+ 
+ Email:
+ 
+ TO:
+ 
+ Member State:
+ 
+ Competent Authority of the host Member State:
+ 
+ Address:
+ 
+ Designated contact point:
+ 
+ Telephone number:
+ 
+ Email:
+ In accordance with Article 34(4) of the Directive 2014/65/EU, we wish to inform you that [Name of firm], an investment firm/credit institution/market operator authorised/supervised by [name of the competent authority of the home Member State], has:
+ 
+ (a) amended the investment services and activities/ancillary services/financial instruments that intends to carry on in your territory on a cross-border basis
+ 
+ (b) changed its name from [old name] to [new name] with effect [date of change]
+ (c) moved to the following address with effect [date of change]
+ 
+ (d) changed its other contact information to as follows [add any changes made to the contact information of Part 1 in Annex I] with effect [date of change]
+ (e) engaged an additional in [name of the home Member State] registered tied agent in providing its investment services and activities in your territory on a cross-border basis
+ 
+ (f) amended the arrangements provided in [name of the host Member State] in order to facilitate the access to and trading of the [name of the MTF or OTF]
+ 
+ (g) ceased to provide investment services and/or perform investment activities due to the withdrawal/cancellation of its authorisation with effect [date of withdrawal/cancellation].
+ 
+ Please find attached a copy of the change of [investment services and activities particulars notification/particulars for the provision of arrangements to facilitate access to an MTF or OTF notification] with the relevant changes. If you have any queries, please do not hesitate to contact us.
+ 
+ Yours sincerely,
+ 
+ [Signature]
+ 
+ (1) Please amend as appropriate in accordance with the changes to be notified.
+ 
+ 
+ Form for the notification for the provision of arrangements to facilitate access to an MTF or OTF
+ 
+ (Articles 8 and 10 of Commission Implementing Regulation (EU) 2017/2382)
+ 
+ Reference number:
+ 
+ Date:
+ 
+ Part 1 — Contact Information:
+ 
+ Type of notification:
+ 
+ Provision of arrangements to facilitate access to an MTF/OTF/changes to the particulars of the notification for the provision of arrangements to facilitate access to an MTF/OTF
+ Member State(s) in which the investment firm/market operator intends to provide arrangements:
+ 
+ Name of investment firm/market operator:
+ 
+ Address:
+ 
+ Telephone number:
+ 
+ Email:
+ 
+ Name of the contact person at the investment firm/market operator:
+ 
+ Home Member State
+ 
+ Authorisation Status (of the investment firm)/Applicable Law (of the market operator):
+ 
+ Authorised/Licensed/Supervised by [Home Member State Competent Authority]
+ 
+ Authorisation Date (for investment firms):
+ 
+ Name of the MTF/OTF:
+ 
+ Date from which the arrangements will be provided:
+ 
+ With immediate effect
+ 
+ Part 2 — Description of [name of the MTF/OTF] business model:
+ [Please include at least the following information]
+ 
+ Type of traded financial instruments:
+ 
+ [to be completed by investment firm/market operator]
+ 
+ Type of trading participants:
+ [to be completed by investment firm/market operator]
+ 
+ Type of appropriate arrangements:
+ 
+ [to be completed by investment firm/market operator]
+ 
+ Marketing:
+ 
+ [to be completed by investment firm/market operator]
+ 
+ Form for the communication regarding a notification for the provision of arrangements tofacilitate access to an MTF or OTF by the competent authority of the home Member State to the competent authority of the host Member State
+ 
+ (Article 9 of Commission Implementing Regulation (EU) 2017/2382)
+ 
+ Reference number:
+ Date:
+ 
+ Communication in accordance with Article 34(7) of the Directive 2014/65/EU (1)
+ 
+ FROM:
+ 
+ Member State:
+ 
+ Competent authority of the home Member State:
+ 
+ Address:
+ 
+ Designated contact point:
+ 
+ Telephone number:
+ 
+ Email:
+ 
+ TO:
+ 
+ Member State:
+ Competent Authority of the host Member State:
+ 
+ Address:
+ 
+ Designated contact point:
+ 
+ Telephone number:
+ 
+ Email:
+ 
+ In accordance with Article 34(7) of the Directive 2014/65/EU, we wish to inform you that the [name of the Market Operator/Investment Firm] which operates the [name of the MTF or OTF] under the [name of the applicable national law] in [name of the home Member State], intends to provide arrangements i…
+ 
+ If you have any queries, do not hesitate to contact us.
+ 
+ Yours sincerely,
+ 
+ [Signature]
+ 
+ (1) Please amend accordingly.
+ 
+ 
+ Form for the branch passport notification and change of branch particulars notification (1)
+ 
+ (Articles 12, 17 and 19 of Commission Implementing Regulation (EU) 2017/2382)
+ 
+ Reference number:
+ 
+ Date:
+ 
+ Part 1 — Contact Information
+ 
+ Type of notification:
+ 
+ Branch passport notification/change of branch particulars notification
+ 
+ Member State in which the investment firm intends to establish a branch (2):
… diff truncated at 500 changed lines …