{"release":{"id":"a4f2a0495fe55b47323883f82977a9b34ab66171ec9623e39925d3a7045b6c81","published":"2026-11-01T16:41:30Z","pinned":false},"limits":{"coverage":{"history":"from:2022-09-07","held_since":"2022-09-07","gaps":[],"covered":["2017/2382 — ITS — Standard forms for the transmission of information [in force] L2"],"not_covered":["national guidance","court decisions"]},"freshness":{"release_id":"a4f2a0495fe55b47323883f82977a9b34ab66171ec9623e39925d3a7045b6c81","release_published":"2026-11-01T16:41:30Z","checked_at":"2026-10-26","checked_against":"EUR-Lex"},"truncation":null,"failures":[],"incomplete":[]},"page":{"path":"/mifid-ii/level-2/its/2017-2382-standard-forms-templates-and-procedures-for-the/annexes/annex-vi","url":"https://www.headlesslaw.com/mifid-ii/level-2/its/2017-2382-standard-forms-templates-and-procedures-for-the/annexes/annex-vi","title":"ANNEX VI","family":"l2_unit_view","work_id":"spaces/mifid-ii/level-2/its/2017-2382-standard-forms-templates-and-procedures-for-the","view_of":"/mifid-ii/level-2/its/2017-2382-standard-forms-templates-and-procedures-for-the","status":"in_force","force_status":"in_force","date_state":"current","requested_date":null,"as_of":"2026-11-02","applies_from":null,"application":null,"version_label":"Consolidated version of 7 September 2022","check":{"against":"EUR-Lex","on":"2026-10-26"},"check_result":"matched","official_url":"https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:02017R2382-20220907","valid_from":"2017-12-21","valid_until":null,"content_id":"0f89c68e27da2ed5","versions":["2017-12-21"],"version_url":"https://www.headlesslaw.com/mifid-ii/level-2/its/2017-2382-standard-forms-templates-and-procedures-for-the/annexes/annex-vi/versions/2022-09-07","revision_url":"https://www.headlesslaw.com/mifid-ii/level-2/its/2017-2382-standard-forms-templates-and-procedures-for-the/annexes/annex-vi/versions/2022-09-07/rev/0f89c68e27da2ed5","versions_url":"https://www.headlesslaw.com/mifid-ii/level-2/its/2017-2382-standard-forms-templates-and-procedures-for-the/annexes/annex-vi/versions","relations_url":"https://www.headlesslaw.com/mifid-ii/level-2/its/2017-2382-standard-forms-templates-and-procedures-for-the/annexes/annex-vi/relations","act_url":"https://www.headlesslaw.com/mifid-ii/level-2/its/2017-2382-standard-forms-templates-and-procedures-for-the#annex-vi","source_line":"Commission Implementing Regulation (EU) 2017/2382 · binding · OJ L 340, 20.12.2017 · dated 14 Dec 2017 [in force]","attribution":{"prepared_by":"European Commission","published_by":"Publications Office of the EU","published_in":"Official Journal of the European Union","document_type":"implementing_regulation","legal_nature":"binding_adopted","addressees":"not stated in the document","dates":{"document_date":"2017-12-14","entry_into_force":"2017-12-21","locators":{"document_date":"CELLAR 32017R2382 work_date_document","entry_into_force":"CELLAR 32017R2382 resource_legal_date_entry-into-force (earliest)"}},"adoption":null},"context":{"act":{"work_id":"spaces/mifid-ii/level-2/its/2017-2382-standard-forms-templates-and-procedures-for-the","path":"/mifid-ii/level-2/its/2017-2382-standard-forms-templates-and-procedures-for-the","name":"Commission Implementing Regulation (EU) 2017/2382","number":"2017/2382","celex":"32017R2382","title_official":"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)","document_date":"2017-12-14"},"position":{"kind":"annex","key":"annex-vi","index":6,"articles":21,"annexes":13},"prev":{"path":"/mifid-ii/level-2/its/2017-2382-standard-forms-templates-and-procedures-for-the/annexes/annex-v","key":"annex-v","title":"ANNEX V"},"next":{"path":"/mifid-ii/level-2/its/2017-2382-standard-forms-templates-and-procedures-for-the/annexes/annex-vii","key":"annex-vii","title":"ANNEX 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text — Annex VI](../../.gitbook/assets/mifid-ii-l2-32017R2382-image-9.jpg)\n\n<!-- oj-text: 32017R2382 annex-vi -->\n*The form’s text as printed in the original act (OJ L 340, 20.12.2017); the consolidated version prints the form only as an image, above; numbering in Part 2, Systems & Controls, as corrected by the corrigendum, OJ L 33, 7.2.2018, p. 5.*\n\nForm for the branch passport notification and change of branch particulars notification (1)\n(Articles 12, 17 and 19 of Commission Implementing Regulation (EU) 2017/2382)\nReference number:\nDate:\nPart 1 — Contact Information\nType of notification:\nBranch passport notification/change of branch particulars notification\nMember State in which the investment firm intends to establish a branch (2):\nName of the investment firm:\nAddress of the investment firm:\nTelephone number of the investment firm:\nEmail of the investment firm:\nName of the contact person at the investment firm:\nName of the branch:\nAddress of the branch:\nTelephone number of the branch:\nEmail of the branch:\nName(s) of those responsible for the management of the branch:\nHome Member State:\nAuthorisation Status:\nAuthorised by [Home Member State Competent Authority]\nAuthorisation Date:\n(1) For the purposes of a changes of branch particulars notification please complete only the parts of the forms which are relevant to the notified changes. When the investment firm intends to make changes to the investment services, activities, ancillary services or financial instruments provided by the branch, the firm shall list all investment services, activities ancillary services or financial instruments the branch will provide.\n(2) Please note that national corporate law may require the previous registration to a commercial registry prior to the commencement of operations by the branch.\nPart 2 — Programme of operations\nIntended investment services, activities and ancillary services provided by the branch (*)\nInvestment Services and activities\nAncillary services\nA1\nA2\nA3\nA4\nA5\nA6\nA7\nA8\nA9\nB1\nB2\nB3\nB4\nB5\nB6\nB7\nFinancial Instruments\nC1\nC2\nC3\nC4\nC5\nC6\nC7\nC8\nC9\nC10\nC11\n(*) Please place an (x) in the appropriate box(es).\nBusiness Plan and structural organisation of the branch\nBusiness plan\n1. How will the branch contribute to the strategy of the firm/group?\n2. What will the main functions of the branch be?\n3. Describe the main objectives of the branch;\n\n### Commercial Strategy\n\n1. Describe the types of clients/counterparties the branch will be dealing with;\n2. Describe how the firm will obtain and deal with these clients;\n\n### Organisational structure\n\n1. Briefly describe how the branch fits into the corporate structure of the firm/group? (This may be facilitated by attaching an organisational chart)\n2. Set out the organisational structure of the branch, showing functional, geographical and legal reporting lines;\n3. Identify who will be responsible for the branch operations on a day to day basis? Provide details of professional experience of the persons responsible for the management of the branch (Please attach CV);\n4. Identify who will be responsible for the internal control functions at the branch?\n5. Identify who will be responsible for dealing with complaints in relation to the branch?\n6. Explain how will the branch report to the head office?\n7. Detail any critical outsourcing arrangements\n\n### Tied Agents (*)\n\n1. Will the branch use tied agent?\n2. What is the identity of the tied agent?\nName\nAddress\nTelephone\nEmail\nContact point\nreference or hyperlink to the public register where the tied agent is registered\n\n### Systems & Controls\n\nProvide a brief summary of arrangements for:\n\n**1.** safeguarding client money and assets;\n\n**2.** compliance with the conduct of business and other obligations that fall under the responsibility of the Competent Authority of the host Member State according to Art 35(8) and record keeping under Art 16(6);\n\n**3.** staff code of Conduct, including personal account dealing;\n\n**4.** anti-money laundering;\n\n**5.** monitoring and control of critical outsourcing arrangements (if applicable);\n\n**6.** the name, address and contact details of the accredited compensation scheme of which the investment firm is a member;\n\nFinancial forecast\nAttach a forecast statement for profit and loss and cash flow, both over an initial period of thirty six month period;\n(*) The investment firm shall submit a separate passport notification in respect of each tied agent the branch intends to use.\n\n<!-- /oj-text -->\n\n","marks":[],"text_hash":"39ee7fcc7f9559a0200d19c9ae69fcbcc74d238a10c384cd509ab7366c0f6201","revision":1}}