Commission Delegated Regulation (EU) 2017/1946 of 11 July 2017 supplementing Directives 2004/39/EC and 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for an exhaustive list of information to be included by proposed acquirers in the notification of a proposed acquisition of a qualifying holding in an investment firm (Text with EEA relevance)

s.art002

Information to be provided by the proposed acquirer

• Provide acquisition information to the competent authority

s.art003

General information relating to the identity of the proposed acquirer

• Provide identification information when notifying a proposed acquisition of a qualifying holding

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Additional information relating to the proposed acquirer that is a legal person

• Provide detailed information to the FCA when acquiring a stake in an investment firm

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Information on the persons that will effectively direct the business of the target entity

• Submit detailed information on new business directors to the regulator

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Information relating to the proposed acquisition

• Provide detailed acquisition information to the regulator

s.art008

Information on the new proposed group structure and its impact on supervision

• Analyse and report post-acquisition group structure and supervision impact

s.art009

Information relating to the financing of the proposed acquisition

• Provide detailed funding information for proposed acquisition of an investment firm

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Additional information for qualifying holdings of up to 20 %

• Provide strategy document to regulator when acquiring up to 20% stake in an investment firm

s.art011

Additional requirements for qualifying holdings between 20 % and 50 %

• Provide a strategy document to the FCA when acquiring 20% to 50% of an investment firm

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Additional requirements for qualifying holdings of 50 % or more

• Provide a business plan to the regulator for a 50%+ qualifying holding

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Reduced information requirements

• Submit reduced information for acquiring a qualifying holding in an investment firm