Official Gazette Notification Text
Official TranscriptOfficial Journal EN of the European Union L series 2025/1157 3.11.2025 COMMISSION IMPLEMENTING REGULATION(EU) 2025/1157 of 12 June 2025 laying down implementing technical standards for the application of Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to the standard forms, templates and procedures for the authorisation of approved publication arrangements,...
Official Journal EN of the European Union L series 2025/1157 3.11.2025 COMMISSION IMPLEMENTING REGULATION(EU) 2025/1157 of 12 June 2025 laying down implementing technical standards for the application of Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to the standard forms, templates and procedures for the authorisation of approved publication arrangements, approved reporting mechanisms and consolidated tape providers, and related notifications, and repealing Commission Implementing Regulation (EU) 2017/1110 (Text with EEA relevance) THE EUROPEAN COMMISSION, Having regard to the Treaty on the Functioning of the European Union, Having regard to Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Regulation (EU) No 648/2012(1), and in particular Article 27d(5) and Article 27db(8) thereof,
Whereas:
(1) Article 2(1), point (36a), of Regulation (EU) No 600/2014 defines data reporting services providers (DRSPs) as approved publication arrangements (APAs), approved reporting mechanisms (ARMs) and consolidated tape providers (CTPs). Although those types of entities are engaged in different data reporting activities, Regulation (EU) No 600/2014 provided for a similar authorisation procedure. In consequence, Commission Implementing Regulation (EU) 2017/1110(2) provided for common standard forms, templates and procedures that were indistinctly applicable for the authorisation of all DRSPs and related notifications. Regulation (EU) 2024/791 of the European Parliament and of the Council(3) amended Regulation (EU) No 600/2014 to introduce a distinction between, on the one hand, the authorisation procedure for APAs and ARMs, and, on the other hand, the authorisation procedure for CTPs. To reflect that amendment, Implementing Regulation (EU) 2017/1110 should be repealed and replaced by a new Regulation.
(2) To facilitate communications between an applicant for authorisation as an APA or as an ARM, on the one hand, and the competent authority, on the other hand, the European Securities and Markets Authority (ESMA) and the national competent authorities should designate a contact point and should publish the information on that contact point on their websites.
(3) The organisational requirements for APAs and ARMs are different in some respects. An applicant for authorisation as an APA or as an ARM should only include in its application the information needed for assessing the application for the data reporting service that the applicant intends to provide.
(4) To facilitate communications between an applicant for authorisation as a CTP and ESMA, ESMA should designate a contact point and should publish the information on that contact point on its website.
(1) OJ L 173, 12.6.2014, p. 84, ELI: http://data.europa.eu/eli/reg/2014/600/oj.
(2) Commission Implementing Regulation (EU) 2017/1110 of 22 June 2017 laying down implementing technical standards with regard to the standard forms, templates and procedures for the authorisation of data reporting services providers and related notifications pursuant to Directive 2014/65/EU of the European Parliament and of the Council on markets in financial instruments (OJ L 162,
23.6.2017, p. 3, ELI: http://data.europa.eu/eli/reg_impl/2017/1110/oj).
(3) Regulation (EU) 2024/791 of the European Parliament and of the Council of 28 February 2024 amending Regulation (EU) No 600/2014 as regards enhancing data transparency, removing obstacles to the emergence of consolidated tapes, optimising the trading obligations and prohibiting receiving payment for order flow (OJ L, 2024/791, 8.3.2024, ELI: http://data.europa.eu/eli/reg/ 2024/791/oj).
ELI: http://data.europa.eu/eli/reg_impl/2025/1157/oj 1/26EN OJ L, 3.11.2025
(5) Article 27da of Regulation (EU) No 600/2014 obliges ESMA to provide for separate selection procedures for a CTP for bonds, for a CTP for shares and exchange-traded funds, and for a CTP for OTC derivatives or relevant subclasses of OTC derivatives. An applicant for authorisation as a CTP should therefore only be required to include in its application the information needed for assessing the application for the asset class with respect to which that applicant intends to operate the consolidated tape.
(6) The processing of personal data for the purposes of this Regulation should be carried out in accordance with Union law on the protection of personal data. In that regard, any processing of personal data performed by national competent authorities in application of this Regulation should be carried out in accordance with Regulation
(EU) 2016/679 of the European Parliament and of the Council(4) and national requirements on the protection of natural persons with regard to the processing of personal data. Any processing of personal data performed by ESMA in application of this Regulation should be carried out in accordance with Regulation (EU) 2018/1725 of the European Parliament and of the Council(5).
(7) This Regulation is based on the draft implementing technical standards submitted to the Commission by ESMA.
(8) ESMA has conducted open public consultations on the draft implementing technical standards on which this Regulation is based. ESMA has not analysed potential related costs and benefits as this would have been highly disproportionate to the scope and impact of the draft implementing technical standards concerned.
(9) ESMA has requested the advice of the Securities and Markets Stakeholder Group established in accordance with Article 37 of Regulation (EU) No 1095/2010 of the European Parliament and of the Council(6).
(10) The European Data Protection Supervisor was consulted in accordance with Article 42(1) of Regulation
(EU) 2018/1725 and delivered formal comments on 17 March 2025.
(11) To ensure that all provisions setting out standard forms, templates and procedures for the authorisation of DRSPs and related notifications are contained in one Regulation, it is appropriate to include the implementing technical standards to be adopted under Article 27d(5) and Article 27db(8) of Regulation (EU) No 600/2014,
(4) Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 2016 on the protection of natural persons with regard to the processing of personal data and on the free movement of such data, and repealing Directive 95/46/EC (General Data Protection Regulation) (OJ L 119, 4.5.2016, p. 1, ELI: http://data.europa.eu/eli/reg/2016/679/oj).
(5) Regulation (EU) 2018/1725 of the European Parliament and of the Council of 23 October 2018 on the protection of natural persons with regard to the processing of personal data by the Union institutions, bodies, offices and agencies and on the free movement of such data, and repealing Regulation (EC) No 45/2001 and Decision No 1247/2002/EC (OJ L 295, 21.11.2018, p. 39, ELI: http://data.
europa.eu/eli/reg/2018/1725/oj).
(6) Regulation (EU) No 1095/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Securities and Markets Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/77/EC (OJ L 331, 15.12.2010, p. 84, ELI: http://data.europa.eu/eli/reg/2010/1095/oj).
2/26 ELI: http://data.europa.eu/eli/reg_impl/2025/1157/ojEN OJ L, 3.11.2025
HAS ADOPTED THIS REGULATION:
CHAPTER I STANDARD FORMS, TEMPLATES AND PROCEDURES FOR THE AUTHORISATION OF APAS AND ARMS AND RELATED NOTIFICATIONS Article 1 Designation of a contact point for applicants for authorisation as an APA or ARM ESMA and the national competent authorities shall designate a contact point for handling all information received from applicants seeking authorisation as an APA or ARM. The contact details of the designated contact point shall be made public and regularly updated on the website of ESMA and of the national competent authorities.
Article 2 Application form and notification form for applicants for authorisation as an APA or ARM, and ways to submit those forms
1. An applicant for authorisation as an APA or ARM shall provide ESMA, or, where relevant, its national competent authority with all information referred to in Article 27d of Regulation (EU) No 600/2014 by filling in the application form set out in Annex I to this Regulation.
2. An applicant for authorisation as an APA or ARM shall provide ESMA, or, where relevant, its national competent authority with information on all members of its management body by filling in the notification form set out in Annex II.
3. An applicant for authorisation as an APA or ARM shall clearly identify in its application for authorisation which specific requirement set out in Articles 27a to 27i of Regulation (EU) No 600/2014 the applicant refers to and in which document attached to its application that information is provided.
4. An applicant for authorisation as an APA or ARM shall indicate in its application for authorisation whether any specific requirement set out in Articles 27a to 27i of Regulation (EU) No 600/2014 or Commission Delegated Regulation
(EU) 2025/1143(7)is not applicable to the data reporting service that the applicant is applying for.
5. ESMA and the national competent authorities shall indicate on their websites whether duly copleted application forms, notifications and any related additional information are to be submitted electronically.
Article 3 Acknowledgement of receipt of an application for authorisation as an APA or ARM Within 10 working days from the receipt of the application for authorisation, ESMA, or, where relevant, the national competent authority shall send electronically an acknowledgement of receipt to the applicant for authorisation as an APA or ARM, including the contact details of the contact point designated pursuant to Article 1.
(7) Commission Delegated Regulation (EU) 2025/1143 of 12 June 2025 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards on the authorisation and organisational requirements for approved publication arrangements and approved reporting mechanisms, and on the authorisation requirements for consolidated tape providers, and repealing Commission Delegated Regulation (EU) 2017/571 (OJ L, 2025/1143, 3.11.2025, ELI: http://data.
europa.eu/eli/reg_del/2025/1143/oj).
ELI: http://data.europa.eu/eli/reg_impl/2025/1157/oj 3/26EN OJ L, 3.11.2025 Article 4 Additional information to be provided by an applicant for authorisation as an APA or ARM At the request of ESMA, or, where relevant, the national competent authority, an applicant for authorisation as an APA or ARM shall provide that authority with additional information that ESMA, or, where relevant, the national competent authority needs to proceed with the assessment of the application for authorisation within five working days following the receipt of that request.
Article 5
Notification of changes to the membership of the management body by an APA or ARM An APA or ARM shall provide ESMA, or, where relevant, its national competent authority with information on any change to the membership of its management body by filling in the notification form set out in Annex III.
Article 6 Communication of the decision to grant or refuse an authorisation to operate as an APA or ARM ESMA, or, where relevant, the national competent authority shall electronically inform an applicant for authorisation as an APA or ARM of its decision to grant or to refuse such authorisation within five working days following the adoption of a reasoned decision as referred to in Article 27d(3) of Regulation (EU) No 600/2014.
CHAPTER II STANDARD FORMS, TEMPLATES AND PROCEDURES FOR THE AUTHORISATION OF CTPS AND RELATED NOTIFICATIONS Article 7 Designation of a contact point for applicants for authorisation as a CTP ESMA shall designate a contact point for handling all information received from applicants seeking authorisation to operate a consolidated tape, which it shall make public and update regularly on its website.
Article 8 Application form and notification form for applicants for authorisation as a CTP, and ways to submit those forms
1. An applicant for authorisation as a CTP shall provide ESMA with all information referred to in Article 27db(1) of Regulation (EU) No 600/2014 by filling in the application form set out in Annex IV.
2. An applicant for authorisation as a CTP shall provide ESMA with information on all members of its management body by filling in the notification form set out in Annex V.
3. An applicant for authorisation as a CTP shall clearly identify in its application for authorisation which specific requirement set out in Articles 27a to 27i of Regulation (EU) No 600/2014 it refers to and in which document attached to its application that information is provided.
4/26 ELI: http://data.europa.eu/eli/reg_impl/2025/1157/ojEN OJ L, 3.11.2025
4. An applicant for authorisation as a CTP shall indicate in its application for authorisation whether any specific requirement set out in Articles 27a to 27i of Regulation (EU) No 600/2014 or Delegated Regulation (EU) 2025/1143 is not applicable to the CTP service that the applicant is applying for.
5. ESMA shall indicate on its website whether duly completed application forms, notifications and any related additional information are to be submitted electronically.
Article 9 Acknowledgement of receipt of an application for authorisation as a CTP Within 10 working days from the receipt of the application for authorisation, ESMA shall send electronically an acknowledgement of receipt to the applicant for authorisation as a CTP, including the contact details of the contact point designated pursuant to Article 7.
Article 10 Additional information to be provided by an applicant for authorisation as a CTP At the request of ESMA, an applicant for authorisation as a CTP shall provide that authority with additional information that ESMA needs to proceed with the assessment of the application for authorisation within five working days following the receipt of ESMA’s request.
Article 11
Notification of changes to the membership of the management body by CTPs A CTP shall provide ESMA with information on any change to the membership of its management body by filling in the
notification form set out in Annex VI.
Article 12 Communication of the decision to grant or refuse an authorisation to operate as a CTP ESMA shall electronically inform an applicant for authorisation as a CTP of its decision to grant or to refuse such authorisation within five working days following the adoption of a reasoned decision as referred to in Article 27db(3) of Regulation (EU) No 600/2014.
CHAPTER III FINAL PROVISIONS Article 13 Repeal Implementing Regulation (EU) 2017/1110 is repealed.
References to the repealed Regulation shall be construed as references to this Regulation.
ELI: http://data.europa.eu/eli/reg_impl/2025/1157/oj 5/26EN OJ L, 3.11.2025 Article 14 Entry into force This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 12 June 2025.
For the Commission The President Ursula VON DER LEYEN 6/26 ELI: http://data.europa.eu/eli/reg_impl/2025/1157/ojEN OJ L, 3.11.2025 ANNEX I Application form for authorisation to provide data reporting services as an APA or an ARM
Reference number:
Date:
From:
Name of the applicant:
Address:
Legal Entity Identifier (where applicable): (Contact details of the designated contact person at the applicant)
Full name:
Telephone:
Email:
To:
ESMA/National Competent Authority:
Address: (Contact details of the designated contact point at ESMA/National Competent Authority)
Address:
Telephone:
Email:
Dear [insert appropriate name], In accordance with Article 2 of Commission Implementing Regulation (EU) 2025/1157 please find the authorisation application. — Person at the applicant in charge of preparing the application:
Full name:
Status/position:
Telephone:
Email:
Date:
Signature:
ELI: http://data.europa.eu/eli/reg_impl/2025/1157/oj 7/26EN OJ L, 3.11.2025 — Nature of the application [tick the relevant box(es)]:
Authorisation – Approved Publication Arrangement (APA) Authorisation – Approved Reporting Mechanism (ARM) CONTENT Please insert the information referred to under Commission Delegated Regulation (EU) 2025/1143.
Please set out that information under the appropriate section or make reference to the relevant annexes containing the information.
Information on the organisation (Article 2 of Delegated Regulation (EU) 2025/1143):
Information on the ownership (Article 3 of Delegated Regulation (EU) 2025/1143):
Information on corporate governance (Article 4 of Delegated Regulation (EU) 2025/1143):
Information on the members of the management body (Article 5 of Delegated Regulation
(EU) 2025/1143):
Information on internal controls (Article 6 of Delegated Regulation (EU) 2025/1143):
Information on digital operational resilience (Article 7 of Delegated Regulation (EU) 2025/1143):
Information on conflicts of interest (Article 8 of Delegated Regulation (EU) 2025/1143):
Information on organisational requirements regarding outsourcing (Article 9 of Delegated Regulation
(EU) 2025/1143):
Information on management of incomplete or potentially erroneous information by APAs (Article 10 of Delegated Regulation (EU) 2025/1143):
Information on management of incomplete or potentially erroneous information by ARMs (Article 11 of Delegated Regulation (EU) 2025/1143):
Information on connectivity of ARMs (Article 12 of Delegated Regulation (EU) 2025/1143):
8/26 ELI: http://data.europa.eu/eli/reg_impl/2025/1157/ojEN OJ L, 3.11.2025 Information on machine readability (Article 13 of Delegated Regulation (EU) 2025/1143):
Information on the details to be published by the APA (Article 14 of Delegated Regulation
(EU) 2025/1143):
Notes:
ELI: http://data.europa.eu/eli/reg_impl/2025/1157/oj 9/26EN OJ L, 3.11.2025 ANNEX II
Notification form for the list of members of the management body of an APA or an ARM
Reference number:
Date:
From:
Name of the applicant:
Address:
Legal Entity Identifier (where applicable): (Contact details of the designated contact person at the applicant)
Full name:
Telephone:
Email:
To:
ESMA/National Competent Authority:
Address: (Contact details of the designated contact point at ESMA/National Competent Authority)
Address:
Telephone:
Email:
Dear [insert appropriate name], In accordance with Article 2 of Commission Implementing Regulation (EU) 2025/1157 please find attached the notification relating to the members of the management body. — Person at the applicant in charge of preparing the notification:
Full name:
Status/position:
Telephone:
Email:
Date:
Signature:
10/26 ELI: http://data.europa.eu/eli/reg_impl/2025/1157/ojEN OJ L, 3.11.2025 — List of members of the management body:
Member 1
Full name:
Date and place of birth:
Personal national identification number or equivalent thereof:
Private address:
Contact details (telephone and email address):
Position:
Curriculum vitae attached to application: Yes/No
Professional experience and other relevant experience:
Educational qualification and relevant training:
Confirmation, where possible via an official certificate, of the absence of criminal records relating to money laundering, terrorist financing, financial or data services, acts of fraud or embezzlement OR self-declaration of good repute and authorisation to the competent authority to request information under Article 5(1), point (d), of Commission Delegated Regulation (EU) 2025/1143:
Self-declaration of good repute and authorisation to the competent authority to request information under Article 5(1), point (e), of Delegated Regulation (EU) 2025/1143:
Minimum time (approximate) that will be devoted to the performance of the person’s functions
within the APA or ARM:
Declaration of any potential conflicts of interest that may exist or arise in performing the duties and
how these conflicts are managed:
Additional information relevant for the assessment whether the member is of sufficiently good repute, possesses sufficient knowledge, skills and experience and commits sufficient time to perform the duties pursuant to Article 27f(3) of Regulation (EU) No 600/2014:
Effective date: [Please set out that information here or provide an explanation of how it will be provided, or make reference to the relevant annexes containing the information] Member [N]
Full name:
Date and place of birth:
ELI: http://data.europa.eu/eli/reg_impl/2025/1157/oj 11/26EN OJ L, 3.11.2025
Personal national identification number or equivalent thereof:
Private address:
Contact details (telephone and email address):
Position:
Curriculum vitae attached to application: Yes/No
Professional experience and other relevant experience:
Educational qualification and relevant training:
Confirmation, where possible via an official certificate, of the absence of criminal records relating to money laundering, terrorist financing, financial or data services, acts of fraud or embezzlement OR self-declaration of good repute and authorisation to the competent authority to request information under Article 5(1), point (d), of Delegated Regulation (EU) 2025/1143:
Self-declaration of good repute and authorisation to the competent authority to make enquiries under Article 5(1)(e) of Delegated Regulation (EU) 2025/1143:
Minimum time (approximate) that will be devoted to the performance of the person’s functions
within the APA or ARM:
Declaration of any potential conflicts of interest that may exist or arise in performing the duties and
how these conflicts are managed:
Additional information relevant for the assessment whether the member is of sufficiently good repute, possesses sufficient knowledge, skills and experience and commits sufficient time to perform the duties pursuant to Article 27f(3) of Regulation (EU) No 600/2014:
Effective date: [Please set out that information here or provide an explanation of how it will be provided, or make reference to the relevant annexes containing the information] 12/26 ELI: http://data.europa.eu/eli/reg_impl/2025/1157/ojEN OJ L, 3.11.2025 ANNEX III
Notification form for changes to the membership of the management body of an APA or an ARM
Reference number:
Date:
From:
Name of the APA or ARM:
Address:
Legal Entity Identifier (where applicable): (Contact details of the designated contact person at the APA or ARM)
Full name:
Telephone:
Email:
To:
ESMA/National Competent Authority:
Address: (Contact details of the designated contact point at ESMA/National Competent Authority)
Address:
Telephone:
Email:
Dear [insert appropriate name], In accordance with Article 5 of Commission Implementing Regulation (EU) 2025/1157 please find attached the notification on changes to the membership of the management body.
— Person at the APA or ARM in charge of preparing the notification:
Full name:
Status/position:
Telephone:
Email:
Date:
Signed:
ELI: http://data.europa.eu/eli/reg_impl/2025/1157/oj 13/26EN OJ L, 3.11.2025 — Information on member(s) leaving the management body:
Member 1
Full name:
Contact details (telephone and email address):
Position:
Effective date of departure from management body:
Reasons for the departure from management body:
Member [N]
Full name:
Contact details (telephone and email address):
Position:
Effective date of departure from management body:
Reasons for the departure from management body: — Information on new member(s) of the management body:
Member 1
Full name:
Date and place of birth:
Personal national identification number or equivalent thereof:
Private address:
Contact details (telephone and email address):
Position:
Curriculum vitae attached to application: Yes/No
Professional experience and other relevant experience:
Educational qualification and relevant training:
Confirmation, where possible via an official certificate, of the absence of criminal records relating to money laundering, terrorist financing, financial or data services, acts of fraud or embezzlement OR self-declaration of good repute and authorisation to the competent authority to request information under Article 5(1), point (d), of Commission Delegated Regulation (EU) 2025/1143:
Self-declaration of good repute and authorisation to the competent authority to request information under Article 5(1), point (e), of Delegated Regulation (EU) 2025/1143:
14/26 ELI: http://data.europa.eu/eli/reg_impl/2025/1157/ojEN OJ L, 3.11.2025 Minimum time (approximate) that will be devoted to the performance of the person’s functions
within the APA or ARM:
Declaration of any potential conflicts of interest that may exist or arise in performing the duties and
how these conflicts are managed:
Additional information relevant for the assessment that the member is of sufficiently good repute, possesses sufficient knowledge, skills and experience and commits sufficient time to perform the duties referred to in Article 27f(3) of Regulation (EU) No 600/2014:
Effective date: [Please set out that information here or provide an explanation of how it will be provided, or make reference to the relevant annexes containing the information] Member [N]
Full name:
Date and place of birth:
Personal national identification number or equivalent thereof:
Private address:
Position:
Personal national identification number or equivalent thereof:
Private address:
Position:
Curriculum vitae attached to application: Yes/No
Professional experience and other relevant experience:
Educational qualification and relevant training:
Confirmation, where possible via an official certificate, of the absence of criminal records relating to money laundering, terrorist financing, financial or data services, acts of fraud or embezzlement OR self-declaration of good repute and authorisation to the competent authority to request information under Article 5(1), point (d), of Delegated Regulation (EU) 2025/1143:
Self-declaration of good repute and authorisation to the competent authority to request information under Article 5(1), point (e), of Delegated Regulation (EU) 2025/1143:
ELI: http://data.europa.eu/eli/reg_impl/2025/1157/oj 15/26EN OJ L, 3.11.2025 Minimum time (approximate) that will be devoted to the performance of the person’s functions
within the APA or ARM:
Declaration of any potential conflicts of interest that may exist or arise in performing the duties and
how these conflicts are managed:
Additional information relevant for the assessment that the member is of sufficiently good repute, possesses sufficient knowledge, skills and experience and commits sufficient time to perform the duties referred to in Article 27f(3) of Regulation (EU) No 600/2014:
Effective date: [Please set out that information here or provide an explanation of how it will be provided, or make reference to the relevant annexes containing the information] — Complete updated list of members of the management body:
Name Position Effective date
Name:
Position:
Effective date:
16/26 ELI: http://data.europa.eu/eli/reg_impl/2025/1157/ojEN OJ L, 3.11.2025 ANNEX IV Application form for authorisation to provide data reporting services as a CTP
Reference number:
Date:
From:
Name of the applicant:
Address:
Legal Entity Identifier (where applicable): (Contact details of the designated contact person at the applicant)
Full name:
Telephone:
Email:
To:
ESMA:
Address: (Contact details of the designated contact point at ESMA)
Address:
Telephone:
Email:
Dear [insert appropriate name], In accordance with Article 8 of Commission Implementing Regulation (EU) 2025/1157 please find the authorisation application. — Person at the applicant in charge of preparing the application:
Full name:
Status/position:
Telephone:
Email:
Date:
Signature: — Nature of the application:
Authorisation – Consolidated Tape Provider (CTP)
ELI: http://data.europa.eu/eli/reg_impl/2025/1157/oj 17/26EN OJ L, 3.11.2025 CONTENT Please insert the information referred to under Commission Delegated Regulation (EU) 2025/1143.
Please set out that information under the appropriate section or make reference to the relevant annexes containing the information.
Information on the ownership (Article 16 of Delegated Regulation (EU) 2025/1143):
Information on the organisation (Article 17 of Delegated Regulation (EU) 2025/1143):
Information on corporate governance (Article 18 of Delegated Regulation (EU) 2025/1143):
Information on the members of the management body (Article 19 of Delegated Regulation
(EU) 2025/1143):
Information on internal controls (Article 20 of Delegated Regulation (EU) 2025/1143):
Information on conflicts of interest (Article 21 of Delegated Regulation (EU) 2025/1143):
Information on business operativity (Article 22 of Delegated Regulation (EU) 2025/1143):
Information on outsourcing (Article 23 of Delegated Regulation (EU) 2025/1143):
Information on market data fees and licensing models (Article 24 of Delegated Regulation
(EU) 2025/1143):
Information on digital operational resilience (Article 25 of Delegated Regulation (EU) 2025/1143):
Information on energy efficiency (Article 26 of Delegated Regulation (EU) 2025/1143):
Information on record keeping arrangements (Article 27 of Delegated Regulation (EU) 2025/1143):
18/26 ELI: http://data.europa.eu/eli/reg_impl/2025/1157/ojEN OJ L, 3.11.2025 Information on organisational requirements (Article 28 of Delegated Regulation (EU) 2025/1143):
Information on reception, consolidation and dissemination of data and data quality (Article 29 of Delegated Regulation (EU) 2025/1143):
Information from joint applicants (Article 30 of Delegated Regulation (EU) 2025/1143):
Notes:
ELI: http://data.europa.eu/eli/reg_impl/2025/1157/oj 19/26EN OJ L, 3.11.2025 ANNEX V
Notification form for the list of members of the management body of a CTP
Reference number:
Date:
From:
Name of the applicant:
Address:
Legal Entity Identifier (where applicable): (Contact details of the designated contact person at the applicant)
Full name:
Telephone:
Email:
To:
ESMA:
Address: (Contact details of the designated contact point at ESMA)
Address:
Telephone:
Email:
Dear [insert appropriate name], In accordance with Article 8 of Commission Implementing Regulation (EU) 2025/1157 please find attached the notification relating to the members of the management body. — Person at the applicant in charge of preparing the notification:
Full name:
Status/position:
Telephone:
Email:
Date:
Signature:
20/26 ELI: http://data.europa.eu/eli/reg_impl/2025/1157/ojEN OJ L, 3.11.2025 — List of members of the management body:
Member 1
Full name:
Date and place of birth:
Personal national identification number or equivalent thereof:
Private address:
Contact details (telephone and email address):
Position:
Curriculum vitae attached to application: Yes/No
Professional experience and other relevant experience:
Educational qualification and relevant training:
Confirmation, where possible via an official certificate, of the absence of criminal records relating to money laundering, terrorist financing, financial or data services, acts of fraud or embezzlement OR self-declaration of good repute and authorisation to ESMA to request information under Article 19(1), point (d), of Commission Delegated Regulation (EU) 2025/1143:
Self-declaration of good repute and authorisation to ESMA to request information under Article 19(1), point (e), of Delegated Regulation (EU) 2025/1143:
Minimum time (approximate) that will be devoted to the performance of the person’s functions
within the CTP:
Declaration of any potential conflicts of interest that may exist or arise in performing the duties and
how these conflicts are managed:
Additional information relevant for the assessment whether the member is of sufficiently good repute, possesses sufficient knowledge, skills and experience and commits sufficient time to perform the duties pursuant to Article 27f(3) of Regulation (EU) No 600/2014:
Effective date: [Please set out that information here or provide an explanation of how it will be provided, or make reference to the relevant annexes containing the information] Member [N]
Full name:
Date and place of birth:
ELI: http://data.europa.eu/eli/reg_impl/2025/1157/oj 21/26EN OJ L, 3.11.2025
Personal national identification number or equivalent thereof:
Private address:
Contact details (telephone and email address):
Position:
Curriculum vitae attached to application: Yes/No
Professional experience and other relevant experience:
Educational qualification and relevant training:
Confirmation, where possible via an official certificate, of the absence of criminal records relating to money laundering, terrorist financing, financial or data services, acts of fraud or embezzlement OR self-declaration of good repute and authorisation to ESMA to request information under Article 19(1), point (d), of Delegated Regulation (EU) 2025/1143:
Self-declaration of good repute and authorisation to ESMA to request information under Article 19(1), point (e), of Delegated Regulation (EU) 2025/1143:
Minimum time (approximate) that will be devoted to the performance of the person’s functions
within the CTP:
Declaration of any potential conflicts of interest that may exist or arise in performing the duties and
how these conflicts are managed:
Additional information relevant for the assessment whether the member is of sufficiently good repute, possesses sufficient knowledge, skills and experience and commits sufficient time to perform the duties pursuant to Article 27f(3) of Regulation (EU) No 600/2014:
Effective date: [Please set out that information here or provide an explanation of how it will be provided, or make reference to the relevant annexes containing the information] 22/26 ELI: http://data.europa.eu/eli/reg_impl/2025/1157/ojEN OJ L, 3.11.2025 ANNEX VI
Notification form for changes to the membership of the management body of a CTP
Reference number:
Date:
From:
Name of the CTP:
Address:
Legal Entity Identifier (where applicable): (Contact details of the designated contact person at the CTP)
Full name:
Telephone:
Email:
To:
ESMA:
Address: (Contact details of the designated contact point at ESMA)
Address:
Telephone:
Email:
Dear [insert appropriate name], In accordance with Article 11 of Commission Implementing Regulation (EU) 2025/1157 please find attached the notification on changes to the membership of the management body.
— Person at the CTP in charge of preparing the notification:
Full name:
Status/position:
Telephone:
Email:
Date:
Signed:
ELI: http://data.europa.eu/eli/reg_impl/2025/1157/oj 23/26EN OJ L, 3.11.2025 — Information on member(s) leaving the management body:
Member 1
Full name:
Contact details (telephone and email address):
Position:
Effective date of departure from management body:
Reasons for the departure from management body:
Member [N]
Full name:
Contact details (telephone and email address):
Position:
Effective date of departure from management body:
Reasons for the departure from management body: — Information on new member(s) of the management body:
Member 1
Full name:
Date and place of birth:
Personal national identification number or equivalent thereof:
Private address:
Contact details (telephone and email address):
Position:
Curriculum vitae attached to application: Yes/No
Professional experience and other relevant experience:
Educational qualification and relevant training:
Confirmation, where possible via an official certificate, of the absence of criminal records relating to money laundering, terrorist financing, financial or data services, acts of fraud or embezzlement OR self-declaration of good repute and authorisation to ESMA to request information under Article 19(1), point (d), of Commission Delegated Regulation (EU) 2025/1143:
Self-declaration of good repute and authorisation to ESMA to request information under Article 19(1), point (e), of Delegated Regulation (EU) 2025/1143:
24/26 ELI: http://data.europa.eu/eli/reg_impl/2025/1157/ojEN OJ L, 3.11.2025 Minimum time (approximate) that will be devoted to the performance of the person’s functions
within the CTP:
Declaration of any potential conflicts of interest that may exist or arise in performing the duties and
how these conflicts are managed:
Additional information relevant for the assessment that the member is of sufficiently good repute, possesses sufficient knowledge, skills and experience and commits sufficient time to perform the duties referred to in Article 27f(3) of Regulation (EU) No 600/2014:
Effective date: [Please set out that information here or provide an explanation of how it will be provided, or make reference to the relevant annexes containing the information] Member [N]
Full name:
Date and place of birth:
Personal national identification number or equivalent thereof:
Private address:
Position:
Curriculum vitae attached to application: Yes/No
Professional experience and other relevant experience:
Educational qualification and relevant training:
Confirmation, where possible via an official certificate, of the absence of criminal records relating to money laundering, terrorist financing, financial or data services, acts of fraud or embezzlement OR self-declaration of good repute and authorisation to ESMA to request information under Article 19(1), point (d), of Delegated Regulation (EU) 2025/1143:
Self-declaration of good repute and authorisation to ESMA to request information under Article 19(1), point (e), of Delegated Regulation (EU) 2025/1143:
Minimum time (approximate) that will be devoted to the performance of the person’s functions
within the CTP:
Declaration of any potential conflicts of interest that may exist or arise in performing the duties and
how these conflicts are managed:
ELI: http://data.europa.eu/eli/reg_impl/2025/1157/oj 25/26EN OJ L, 3.11.2025 Additional information relevant for the assessment that the member is of sufficiently good repute, possesses sufficient knowledge, skills and experience and commits sufficient time to perform the duties referred to in Article 27f(3) of Regulation (EU) No 600/2014:
Effective date: [Please set out that information here or provide an explanation of how it will be provided, or make reference to the relevant annexes containing the information] — Complete updated list of members of the management body:
Name Position Effective date
Name:
Position:
Effective date:
26/26 ELI: http://data.europa.eu/eli/reg_impl/2025/1157/oj