Legal Name of Applicant Entity

Market Data Processor (MDP) On-boarding Application Form

Legal name of applicant entity

MDP On-boarding Application Form page 1

1 About the applicant entity

1 / About the applicant entity
Information needed in order to identify the type of applicant entity.

Please read through the entire section and tick all boxes that apply to you.

1.1Application Type

New application (applicant has notpreviously been approved to establish connectivity with the MDP system)

Adding new Entity Type (applicant haspreviouslybeen approved and established connectivity with the MDP system).

Please refer the MDP Onboarding Application Form – Notes part A to ensure that only the relevant sections of this form are completed.

Addition of Trading Venue*

Addition of Market Data Type*

Addition of Asset Class*

* These should only be ticked if an application has previously been submitted to and approved by the FCA. Please refer to the MDP On-boarding Application Form – Notes part B for addition of Trading Venue, Market Data Type or Asset Class notes to ensure that only the relevant sections of this form are completed.

Entity Type

1.2 Is the applicant entitya Market Operator (MO) operating / intending to operate a Trading Venue (TV)?

YesPlease specify the type of TV(s) the applicant entity operates / intendsto operate

Regulated Market (RM)

Multilateral Trading Facility (MTF)

Organised Trading Facility (OTF)

1.3 Is the applicant entitya MO intending to operate a Data Reporting Services Provider (DRSP)?

YesPlease specify the type of DRSP(s) the applicant entity intends to operate

Approved Reporting Mechanism (ARM)

Approved Publication Arrangement (APA)

Consolidated Tape Provider (CTP)

1.4 Is the applicant entityan Investment Firm (IF) operating / intending to operate a TV?

YesPlease specify the type of TV(s) the applicant entity operates / intends to operate

Multilateral Trading Facility (MTF)

Organised Trading Facility (OTF)

1.5 Is the applicant entity an Investment Firm (IF) with data reporting obligations but not operating a TV?

YesPlease specify details below

Operating/intending to operate a Systematic Internaliser (SI)

Intending to report economically equivalent OTC commodity
derivative positions

Intending to submit their own transaction reports

1.6 Is the applicant entity an entity/person (irrespective of regulatory status) intending to submit commodity position reports?

Yes

1.7 Is the applicant entity an IF intending to operate a DRSP?

YesPlease specify the type of DRSP(s)the applicant entity intends to operate

ARM

APA

CTP

1.8 Is the applicant entity an entity other than an IF or MO intending to operate a DRSP?

YesPlease specify the type of DRSP(s) the applicant entity intends to operate

ARM

APA

CTP

1.9 Have you answered ‘yes’ to any of the Questions 1.2-1.8?

YesYou must complete Section 2

NoPlease provide information below as to why you seek to connect to the MDP and contact to discuss this application

MDP On-boarding Application Form page 1

2 Background information

2 / Background information
All applicant entities must complete all questions in this section for their application

2.1 Is this connectivity application submitted in conjunction with a new FCA Authorisation/Recognition application?

YesGive details below

Firm Name
Firms Reference Number (FRN)
Case Reference Number

FRN – if you are already authorised and/or recognised by the FCA please provide your FRN.

Case Reference Number – If you are a new entity applying for Authorisation or Recognition please provide your application case reference number which you will have received by email upon submitting your application.

2.2 Is the applicant entitycurrently authorised /recognisedby the FCA?

NoContinue to Section 3

YesGive details belowand then continue to Section 4

Firm Name
FRN

MDP On-boarding Application Form page 1

3 Non-UK, EEA-authorised applicant entities

3 / Non-UK, EEA-authorised applicant entities
Applicantentitieswho are currently passported in to the UK for MiFID services/establishment must complete this section.

Background Information

3.1 What is the applicant entity’sHome Competent Authority (CA)?

Home CA
Firm Name

3.2 What is the applicant entity’sprincipal jurisdiction of operation/business?

Jurisdiction

MDP On-boarding Application Form page 1

4 Data types

4 / Data types
This section should be completed by all applicant entities, as we require information around the market data type(s) the applicant entity is seeking to report.

4.1 For each of the below market data types the applicant entity is seeking to report please provide all relevant information where applicable

Where entities need to specify MICs, as indicated in the tables below, please provide and clearly annotate whether the MIC is a segment or operating MIC. There must be only one MIC per RM, MTF, OTF, SI, APA and CTP which uniquely identifies that entity. It is possible for an applicant entity to operate more than one RM, MTF or OTF (or a combination of these venue types),and these should all be recorded below or in the additional sheet(s) provided.

Transaction reporting dataPlease provide all applicable elements of the applicant entity submitting transaction reports

LEI of IF
LEI of MTF / Operating / Segment (select as appropriate)
LEI of MTF / Operating / Segment (select as appropriate)
LEI of MTF / Operating / Segment (select as appropriate)
LEI of OTF / Operating / Segment (select as appropriate)
LEI of OTF / Operating / Segment (select as appropriate)
LEI of OTF / Operating / Segment (select as appropriate)
LEI of ARM
LEI of RM / Operating / Segment (select as appropriate)
LEI of RM / Operating / Segment (select as appropriate)

Note: if operating a TV but not submitting transaction reports please indicate in section 9.1 – Supplementary information - how transaction reports will be submitted for non-MiFID firms e.g. you will use an ARM or you do not have any non-MiFID firms as clients.

Instrument reference dataPlease provide all applicable elements of the applicant entity submitting instrument reference data

MIC of SI / Operating / Segment (select as appropriate)
MIC of MTF / Operating / Segment (select as appropriate)
MIC of MTF / Operating / Segment (select as appropriate)
MIC of MTF / Operating / Segment (select as appropriate)
MIC of OTF / Operating / Segment (select as appropriate)
MIC of OTF / Operating / Segment (select as appropriate)
MIC of OTF / Operating / Segment (select as appropriate)
MIC of RM / Operating / Segment (select as appropriate)
MIC of RM / Operating / Segment (select as appropriate)

Double volume cap reportsPlease provide all applicable elements of the applicant entity submitting double volume cap reports

MIC of MTF / Operating / Segment (select as appropriate)
MIC of MTF / Operating / Segment (select as appropriate)
MIC of MTF / Operating / Segment (select as appropriate)
MIC of RM / Operating / Segment (select as appropriate)
MIC of RM / Operating / Segment (select as appropriate)
MIC of CTP / Operating / Segment (select as appropriate)

Note: if the CTP does not currently have a MIC please enter ‘Not Available’ and a code will be allocated for testing purposes. A trade reporting facility can apply for a MIC and these are created free of charge; please refer to for details.

Transparency reportsPlease provide all applicable elements of the applicant entity submitting transparency reports

MIC of MTF / Operating / Segment (select as appropriate)
MIC of MTF / Operating / Segment (select as appropriate)
MIC of MTF / Operating / Segment (select as appropriate)
MIC of OTF / Operating / Segment (select as appropriate)
MIC of OTF / Operating / Segment (select as appropriate)
MIC of OTF / Operating / Segment (select as appropriate)
MIC of RM / Operating / Segment (select as appropriate)
MIC of RM / Operating / Segment (select as appropriate)
MIC of APA / Operating / Segment (select as appropriate)
MIC of CTP / Operating / Segment (select as appropriate)

Note(1): if the APA or CTP does not currently have a MIC please enter ‘Not Available’ and a code will be allocated for testing purposes. A trade reporting facility can apply for a MIC and these are created free of charge; please refer to for details.

Note (2): please indicate in section 9.1 – Supplementary information,whether the transparency file will contain equity, non-equity or both categories of data

Position reports (commodity derivatives)Please provide all applicable elements of the applicant entity submitting position reports

LEI of IF
MIC of RM / Operating / Segment (select as appropriate)
MIC of RM / Operating / Segment (select as appropriate)
MIC of MTF / Operating / Segment (select as appropriate)
MIC of MTF / Operating / Segment (select as appropriate)
MIC of OTF / Operating / Segment (select as appropriate)
MIC of OTF / Operating / Segment (select as appropriate)

If you have more submitting entities for a data type please use the additional sheet below, otherwise continue to section 5

MDP On-boarding Application Form page 1

4 Data types (additional sheet)

4 / Data types (additional sheet)
This section should be completed if an additional sheet is required by the applicant entity, as we require information around the market data type(s) the applicant entity is seeking to report.

4.1 For each of the below market data types the applicant entity is seeking to report please provide all relevant information where applicable

Where entities need to specify MICs, as indicated in the tables below, please provide and clearly annotate whether the MIC is a segment or operating MIC. An operating MIC should only be provided where a segment MIC is not available. There must be only one MIC per RM, MTF, OTF, SI, APA and CTP which uniquely identifies that entity.

Transaction reporting dataPlease provide all applicable elements of the applicant entity submitting transaction reports

Instrument reference dataPlease provide all applicable elements of the applicant entity submitting instrument reference data

Double volume cap reports Please provide all applicable elements of the applicant entity submitting double volume cap reports

Transparency reports Please provide all applicable elements of the applicant entity submitting transparency reports

Note (1): if the APA or CTP does not currently have a MIC please enter ‘Not Available’ and a code will be allocated for testing purposes. A trade reporting facility can apply for a MIC and these are created free of charge; please refer to for details.

Note (2): please indicate in section 9.1 – Supplementary information whether the transparency file will contain equity, non-equity or both categories of data

Position reports (commodity derivatives) Please provide all applicable elements of the applicant entity submitting position reports

If you have more submitting entities for a data type please add additional sheets (print pages 10, 1112) and number accordingly, otherwise continue to section 5

MDP On-boarding Application Form page 1

5 Personnel

5 / Personnel
This section should be completed by all applicant entities as we require information on key points of contact.

MDP On-boarding Application Form page 1

5 Personnel

Contact details

5.1IT Manager contact details

This will be the primary contact for IT related enquiries

Title
First name(s)
Surname
Job title
Business address
Postcode
Phone number (including STD code)
Mobile number (mandatory)[1]
Email address

5.2 Business Liaison contact details

This individual will be the primary contact held on FCA records for any future correspondence once the technical connection is established.

If the technical contact for each data type is different please specify in the box provided below.

Data Type
Title
First name(s)
Surname
Job title
Phone number (including STD code)
Mobile number (optional)
Email address

MDP On-boarding Application Form page 1

6 Fees

6 / Fees
This section should be completed by all applicant entities as it details the fees required for the purpose of this application.

As outlined in FEES 3.2.7 R of the FCA Handbook, the associated on-boarding fees are:

Transaction reports: £20,000
Transparency calculation data: £10,000
Instrument reference data: £10,000
Double volume cap data: £10,000
Commodity position reports: £10,000

An incoming DRSP, authorised in another EU member state, would pay 80% of each charge.

For examples to illustrate the total fees an entity might pay for different internal arrangements,please refer to CP16/19.

6.1 Based onthe above fee structure please summarise below the fees that are applicable to this application.

MDP On-boarding Application Form page 1

6 Fees

Payment Methods and Details

The fee payable should be paid by one of the following methods:

Credit transfer (egBACS, CHAPS, faster payments) - our preferred payment method

Please pay the fee into the account below and reference it with 'MDP’ followed by the FRN or LEI of the applicant entity.

FCAbank details

Account name:FCA Collection account
Bank name: Lloyds Bank
Account number:00828179
Sort code:30-00-02
Swift code: LOYD GB 2LCTY
Iban code: GB68 LOYD 3000 0200 8281 79

Post

Send a cheque made payable to the ‘Financial Conduct Authority’ to:

The Cashier, Finance Department, Financial Conduct Authority, 25 The North Colonnade, LondonE14 5HS

Please include your reference of MDP followed by the FRN or LEI of the applicant entity on the reverse of the cheque and note this below:

Payment reference: MDP

MDP On-boarding Application Form page 1

7 Activities and requirements

Please email your remittance advice and payment details to: or attach to the application

7 / Activities and requirements
This section should be completed by all applicant entities.

Market data types and relevant volumes reported

7.1Please provide, either in the table below or in an attached sheet where there are multiple submitting entities as recorded in section 4, estimated volumes for all market data types the applicant entity will be reporting. This information should be provided per entity type e.g. MTF, OTF, ARM, APA, CTP, RM, SI or IF together with the associated MIC or LEI.

Your estimations should include (a) initial volumes i.e. first quarter, (b) BAU volumes (Q2 until theend of year 1) and (c) estimated percentage growth rate per year. Please provide your estimates in records/file per day. Please break down the relevant volumes into respective instrument asset classes.

MIC or LEI
Data Type / Transaction reporting / Reference Data / Double Volume cap / Position reports / Transparency data
Initially
BAU
Annual % change (+/-)

7.2 Is the applicant entity applying to provide data reporting services?

YesContinue to Question 7.13

No Complete the detail requested below and continue through the remainder of section 7 as applicable.

You must provide a brief description of the business continuity and disaster recovery plans to enable the timely resumption of reporting in the case of system failure.

The FCA’s high-level review of the business continuity does not imply any endorsement, guarantee of quality or acceptance of responsibility for the adequacy of any applicant’s business continuity planning or systems.

7.3Please detail the applicant entity’splans for informing clients, members or participants of FCA rejections, where applicable*.

*To be completed only for a TV providing market side transaction reporting, otherwise N/A.

7.4Please explain how the applicant entity would ensure the security and confidentiality of the data reported.

The FCA’s high-level review of network security policies does not imply any endorsement, guarantee of quality or acceptance of responsibility for the adequacy of any applicant’s network security systems.

7.5Please describe what management information the applicant entity will produce on timeliness of submissions and number of rejections and detail how often it will be generated for all relevant market data types.

7.6Is the applicant entity applying for the provision of transaction reporting data?

NoContinue to Question 7.13

YesContinue to Question 7.7

7.7 Please detail the applicant entity’sarrangements for referencing firm submissions and the traceability mechanism for tracking submissions throughout the transaction reporting data provision process.

7.8 Please detail the applicant entity’ssupport arrangement with clients,where applicable.*

*To be completed only for a TV providing market side transaction reporting, otherwise N/A.

7.9Is the applicant entity an IF submitting their own transaction reporting data only?

NoContinue to Question 7.12

YesContinue to Question 7.10

7.10Is the applicant entityplanning to continue to transaction report through any Trading Venues/ARMs?

Yes

Please detail your cutover arrangements.

7.11Please describe the mechanisms for identifying and correcting errors in a transaction report.