SSR 5 Annex 2 Annual attestation by market makers

1.1. Full name  

(Full legal name of notifier as it is registered) 

Person making the attestation on behalf of the notifying market maker 

2.1. Full name  

(Of the person making the attestation) 

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) 

Annual attestation

3.1. Declaration

The notifier mentioned in (1) notifies that:

• The firm is correctly applying the market maker exemption to its short selling activities, in accordance with the rules and guidance in SSR 5, and specifically SSR 5.4.1R, SSR 5.10, and SSR 5.13 to SSR 5.19 inclusive.

• The firm continues to perform market making activities covered by the exemption and still requires the exemption for those activities.

• 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.

• The contact details previously provided in SSR 5 Annex 1R remain correct and it will promptly communicate to the FCA any changes to contact details in accordance with SSR 5.7.7R.

• 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.

4. Date of attestation 

(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