{"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-vii","url":"https://www.headlesslaw.com/mifid-ii/level-2/its/2017-2382-standard-forms-templates-and-procedures-for-the/annexes/annex-vii","title":"ANNEX VII","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":"5e0e6daf0e714db4","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-vii/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-vii/versions/2022-09-07/rev/5e0e6daf0e714db4","versions_url":"https://www.headlesslaw.com/mifid-ii/level-2/its/2017-2382-standard-forms-templates-and-procedures-for-the/annexes/annex-vii/versions","relations_url":"https://www.headlesslaw.com/mifid-ii/level-2/its/2017-2382-standard-forms-templates-and-procedures-for-the/annexes/annex-vii/relations","act_url":"https://www.headlesslaw.com/mifid-ii/level-2/its/2017-2382-standard-forms-templates-and-procedures-for-the#annex-vii","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-vii","index":7,"articles":21,"annexes":13},"prev":{"path":"/mifid-ii/level-2/its/2017-2382-standard-forms-templates-and-procedures-for-the/annexes/annex-vi","key":"annex-vi","title":"ANNEX VI"},"next":{"path":"/mifid-ii/level-2/its/2017-2382-standard-forms-templates-and-procedures-for-the/annexes/annex-viii","key":"annex-viii","title":"ANNEX VIII"},"act_anchor":"#annex-vii"}},"provenance":{"official_url":"https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:02017R2382-20220907","check":{"result":"matched","checked_at":"2026-10-26","against":"EUR-Lex"},"repo_path":"spaces/mifid-ii/level-2/its/2017-2382-standard-forms-templates-and-procedures-for-the.md","unit_text_sha256":"62b08ebffe4f00fa3029da6a4b96ea58e51e1a27d5324e53b99cc7385c2e61c1","note":"the unit is a byte-exact part of the act page, whose check record covers it"},"unit":{"locator":"spaces/mifid-ii/level-2/its/2017-2382-standard-forms-templates-and-procedures-for-the/annex-vii","kind":"annex","key":"annex-vii","heading":"ANNEX VII","text":"## ANNEX VII\n\n<a id=\"annex-vii\"></a>![Figure printed as an image in the official text — Annex VII](../../.gitbook/assets/mifid-ii-l2-32017R2382-image-10.jpg)\n\n![Figure printed as an image in the official text — Annex VII](../../.gitbook/assets/mifid-ii-l2-32017R2382-image-11.jpg)\n\n![Figure printed as an image in the official text — Annex VII](../../.gitbook/assets/mifid-ii-l2-32017R2382-image-12.jpg)\n\n<!-- oj-text: 32017R2382 annex-vii -->\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.*\n\nForm for the tied agent passport notification and change of tied agent particulars notification (1)\n(Articles 13, 14 and 18 of Commission Implementing Regulation (EU) 2017/2382)\nReference number:\nDate:\nPart 1 — Contact Information\nType of notification:\nTied agent passport notification/change of tied agent particulars notification\nMember State in which the investment firm/credit institution intends to use a tied agent established in the host Member State(s):\nName of investment firm/credit institution:\nAddress of the investment firm/credit institution:\nName of the contact person at the investment firm/credit institution:\nTelephone number of the investment firm/credit institution\nEmail of the investment firm/credit institution\nName of the tied agent:\nAddress of the tied agent:\nTelephone number of the tied agent:\nEmail of the tied agent:\nName(s) of those responsible for the management of the tied agent:\nHome Member State:\nAuthorisation Status:\nAuthorised by [Home Member State Competent Authority]\nAuthorisation Date:\nReference or hyperlink to the public register where the tied agent is registered\n(1) For the purposes of a change in the tied agent particulars notification, please complete only the parts of the forms relevant to the notified changes. Where changes have been made to the investment services, activities or financial instruments, the firm shall list all investment services, activities or financial instruments to be provided by the tied agent.\nPart 2 — Programme of operations\nIntended investment services or activities to be provided by the tied agent (*):\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 tied agent\nBusiness plan\n1. Explain how the tied agent will contribute to the strategy of the firm/group.\n2. Describe what the main functions of the tied agent will be.\n3. Describe the main objectives of the tied agent.\n\n### Commercial Strategy\n\n1. Describe the types of clients/counterparties the tied agent 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 tied agent 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 tied agent, showing both functional and legal reporting lines.\n3. Identify who will be responsible for the tied agent operations on a day to day basis? Provide details of professional experience of the persons responsible for the management of the tied agent (Please attach CV).\n4. Identify who will be responsible for the internal control functions at the tied agent.\n5. Identify who will be responsible for dealing with complaints in relation to the tied agent.\n6. Identify how will the tied agent report to the head office.\n7. Detail any critical outsourcing arrangements.\n\n### Systems & Controls\n\nProvide a brief summary of arrangements for:\n1. safeguarding client money and assets (where applicable);\n2. 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 Article 35(8) and record keeping under Article 16(6);\n3. staff code of Conduct, including personal account dealing;\n4. anti-money laundering;\n5. monitoring and control of critical outsourcing arrangements (where applicable);\n6. the name, address and contact details of the accredited compensation scheme of which the investment firm or credit institution is a member.\nFinancial forecast\nAttach a forecast statement for profit and loss and cash flow, both over an initial period of thirty six month period.\n\n<!-- /oj-text -->\n\n","marks":[],"text_hash":"62b08ebffe4f00fa3029da6a4b96ea58e51e1a27d5324e53b99cc7385c2e61c1","revision":1}}