SSR 5 Annex 1 Information required for market maker registration

1. Identity of the notifier 

1.1. Full name  

(Full legal name of the notifier as it is registered) 

1.2. Status

(Mark relevant status with ‘X’) 

Credit institution

Investment firm

Overseas entity (acting as an investment firm or credit institution in the relevant jurisdiction) 

1.3. Address  

(Registered office; if registered office is not in UK, address for service in the UK) 

1.4. Country 

1.5. Phone number

(Direct telephone number – include country code)  

1.6. Email address and website URL 

1.7. Bank identification code (BIC)

 (If applicable) 

1.8. Firm reference number (FRN)

(If applicable) 

1.9. Legal entity identifier (LEI) 

(If applicable) 

2. Contact or reporting person for the purpose of the exemption notification

2.1 Full name  

(Of the contact or reporting person)  

2.2 Address  

2.3 Phone number 

(Direct telephone number – include country code) 

2.4 Email address 

(Individual work email address) 

2.5 Role  

(Job title/functional relationship with notifier) 

3. Exemption notification 

3.1. Declaration: 

The notifier mentioned in (1) notifies that:

1. • It meets the conditions of the exemption set out in SSR 5, specifically those in SSR 5.4.1R and the guidance in SSR 5.10 to SSR 5.19.
2. • It intends to perform market making activities as set out in, and in accordance with, the rules and guidance in SSR 5, and specifically in SSR 5.10, and in SSR 5.13 to SSR 5.19 inclusive.
3. • It will promptly communicate to the FCA any changes in circumstances affecting eligibility or continued use of the exemption in accordance with SSR 5.7.
4. • It will promptly communicate to the FCA any changes to contact details in accordance with SSR 5.7.7R.
5. • It will promptly respond to any requests for information from the FCA made under SSR 5.11 to demonstrate its compliance with the rules and guidance in SSR 5.

3.2. Please specify the market making activities performed according to Regulation 9(5)(c) of the Short Selling Regulations 2025: 

3.3. Trading venue membership  

Specify the name of the trading venue(s) of which the notifier is a member: (*) 

(*) Attach evidence of membership or relevant link if appropriate. 

3.4. The notifier mentioned in (1) intends to use the exemption referred to in Regulation 9(5)(c) of the Short Selling Regulations 2025 from (yyyy)/(mm)/(dd) (*)

(*) The exemption notification must be sent to the FCA at least 15 calendar days before the notifier intends to use the exemption.  

4. Date of notification  

(yyyy) / (mm) / (dd) 

5. Signature   

Name and signature of the notifier’s contact person or reporting person 

(Signature here) 

I am authorised to give this notification on behalf of the notifier