Commission Implementing Regulation (EU) 2017/2382 of 14 December 2017 laying down implementing technical standards with regard to standard forms, templates and procedures for the transmission of information in accordance with Directive 2014/65/EU of the European Parliament and of the Council (Text with EEA relevance. )

Article 1

Scope

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:

(a) the right of freedom to provide investment services and activities in accordance with Article 34(5) of Directive 2014/65/EU;

(b) the right of establishment in accordance with Article 35(7) of Directive 2014/65/EU.

Article 2

General requirements

It shall be submitted in paper form or, where accepted by the relevant competent authority, by electronic means.

Article 3

Submission of the investment services and activities passport notification

Article 4

Assessment of completeness and accuracy of the investment services and activities passport notification

Article 5

Communication regarding the investment services and activities passport notification

Article 6

Submission of the change of investment services and activities particulars notification

Article 7

Communication regarding the change of investment services and activities particulars notification

Article 8

Submission of the notification for the provision of arrangements to facilitate access to an MTF or an OTF

An investment firm or a market operator operating an MTF or OTF that intends to provide, within the territory of another host Member State, appropriate arrangements to facilitate access to and trading on those systems by remote users, members or participants established in that host Member State shall notify to the competent authority of the home Member State the details of the host Member State in which it intends to provide such arrangements, using the form set out in Annex IV.

Article 9

Communication regarding the notification for the provision of arrangements to facilitate access to an MTF or an OTF

Article 10

Submission of the change of particulars for the provision of arrangements to facilitate access to an MTF or an OTF notification

Article 11

Communication regarding the change of particulars for the provision of arrangements to facilitate access to an MTF or an OTF notification

After receiving a notification pursuant to Article 10(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 III, together with a copy of the notification.

Article 12

Submission of the branch passport notification

An investment firm wishing to establish a branch within the territory of 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 in Annex VI.

Article 13

Submission of the tied agent passport notification

Article 14

Assessment of completeness and accuracy of the branch passport notification or tied agent passport notification

Article 15

Communication regarding the branch passport notification

Article 16

Communication regarding the tied agent passport notification

Article 17

Submission of the change of branch particulars notification

The investment firm or credit institution shall complete only those parts of the form set out in Annex VI relevant to the changes in the particulars of the branch passport notification.

Article 18

Submission of the change in the tied agent particulars notification

The investment firm or credit institution shall only complete those parts of the form set out in Annex VII relevant to the changes in the particulars of the tied agent passport notification.

Article 19

Communication regarding the change of branch particulars notification

Article 20

Communication regarding the change of tied agent particulars notification

Article 21

Entry into force and application

This Regulation shall enter into force on the day following that of its publication in the Official Journal of the European Union.

It shall apply from 3 January 2018.

This Regulation shall be binding in its entirety and directly applicable in all Member States.

ANNEX I

ANNEX II

ANNEX III

ANNEX IV

ANNEX V

ANNEX VI

ANNEX VII

ANNEX VIII

ANNEX IX

ANNEX X

ANNEX XI

ANNEX XII

ANNEX XIII