Updated 22/10/2024
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Article 1 - Information necessary for the registration

Article 1

Information necessary for the registration

A third-country firm applying for the provision of investment services or performance of activities throughout the Union in accordance with the second subparagraph of Article 46(4) of Regulation (EU) No 600/2014 shall submit the following information to ESMA:

(a)

full name of the firm, including its legal name and any other trading name to be used by the firm;

(b)

contact details of the firm, including the head office address, telephone number and email address;

(c)

contact details of the person in charge of the application, including telephone number and email address;

(d)

website, where available;

(e)

national identification number of the firm, where available;

(f)

legal entity identifier (LEI) of the firm, where available;

(g)

Business Identifier Code (BIC) of the firm, where available;

(h)

name and address of the competent authority of the third country that is responsible for the supervision of the firm; where more than one authority is responsible for supervision, the details of the respective areas of competence shall be provided;

(i)

the link to the register of each competent authority of the third country, where available;

(j)

information on which investment services, activities, and ancillary services it is authorised to provide in the country where the firm is established;

(k)

the investment services to be provided and activities to be performed in the Union, together with any ancillary services.