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►B 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)  
(OJ L 340, 20.12.2017, p. 6)  
Amended by:  
Official Journal  
No page  date  
►M1 Commission Implementing Regulation (EU) 2022/1407 of 16 August  
2022  L 215  2 7  18.8.2022  
Corrected by:  
►C1 Corrigendum, OJ L 33, 7.2.2018, p. 5 (2017/2382)  02017R2382 — EN — 07.09.2022 — 001.001 — 1
02017R2382 — EN — 07.09.2022 — 001.001 — 2  
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)  
Article 1  
Scope  
1. This Regulation shall apply to investment firms and market 
operators operating a multilateral trading facility (MTF) or an  
organised trading facility (OTF).  
2. This Regulation shall also apply to credit institutions auth orised 
under Directive 2013/36/EU which provide one or more investment  
services or perform investment activities under Directive 2014/ 65/EU, 
and wish to use tied agents under any of the following rights:  
(a) the right of freedom to provide investment services and act ivities in 
accordance with Article 34(5) of Directive 2014/65/EU;  
(b) the right of establishment in accordance with Article 35(7)  of 
Directive 2014/65/EU.  
Article 2  
General requirements  
1. Any notification or communication submitted under this Regu­
lation shall be provided in an official Union language accepted  by 
both the competent authority of the home Member State and by th e 
competent authority of the host Member State.  
It shall be submitted in paper form or, where accepted by the r elevant 
competent authority, by electronic means.  
2. The competent authorities shall make publicly available 
information on the accepted language(s) and means of submission , 
including contact details for passport notifications.  
Article 3  
Submission of the investment services and activities passport 
notification  
1. An investment firm shall submit to the competent authority o f the 
home Member State an investment services and activities passpor t notifi­
cation pursuant to Article 34(2) or (5) of Directive 2014/65/EU  the form 
set out in Annex I.  
2. An investment firm shall submit, for each Member State in wh ich 
it intends to operate, a separate investment services and activ ities 
passport notification to the competent authority of the home Me mber 
State pursuant to paragraph 1.  ▼B
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3. An investment firm or a credit institution referred to in 
Article 1(2)(a) wishing to provide investment services or activ ities 
through a tied agent established in the home Member State shall  
submit an investment services and activities passport notificat ion to 
the competent authority of the home Member State, by filling in  only 
those parts relevant to the tied agent in the form set out in A nnex I.  
Article 4  
Assessment of completeness and accuracy of the investment services 
and activities passport notification  
1. On receipt of an investment services and activities passport  notifi­
cation pursuant to Article 3, the competent authority of the ho me 
Member State shall assess the completeness and accuracy of the 
information provided.  
2. Where the information provided is found to be incomplete or 
incorrect, the competent authority of the home Member State sha ll, 
without undue delay, inform the investment firm or credit insti tution 
referred to in Article 1(2)(a) thereof. The competent authority  of the 
home Member State shall indicate in which particular respect th e 
information has been found to be incomplete or incorrect.  
3. The 1-month period referred to in Article 34(3) and in the s econd 
subparagraph of Article 34(5) of Directive 2014/65/EU shall beg in upon 
receipt of an investment services and activities passport notif ication 
containing information that is found to be complete and correct . 
Article 5  
Communication regarding the investment services and activities 
passport notification  
1. The competent authority of the home Member State shall, with in 1 
month of receiving a notification pursuant to Article 3, inform  the 
competent authority of the host Member State of that notificati on, 
using the form set out in Annex II, together with a copy of the  notifi­
cation.  
2. The competent authority of the home Member State shall, with out 
undue delay, inform the investment firm or the credit instituti on referred 
to in Article 1(2)(a) about the onward communication pursuant t o 
paragraph 1, including the date of that communication.  
Article 6  
Submission of the change of investment services and activities 
particulars notification  
1. In the event of a change in any of the particulars of an inv estment 
services and activities passport notification, the investment f irm or credit 
institution referred to in Article 1(2)(a) shall submit a notif ication to the 
competent authority of the home Member State using the form set  out in 
Annex I.  ▼B
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2. For the purposes of the notification pursuant to paragraph 1  of this 
Article, the investment firm or credit institution referred to in 
Article 1(2)(a) shall complete only those parts of the form set  out in 
Annex I relevant to the changes in the particulars of the inves tment 
services and activities passport notification.  
3. For the purposes of the notification of changes related to t he 
investment services, activities, ancillary services or financia l instruments 
provided, the investment firm or credit institution referred to  in 
Article 1(2)(a) shall list all the investment services, activit ies, 
ancillary services or financial instruments that it provides at  the time 
of the notification, or intends to provide in the future.  
Article 7  
Communication regarding the change of investment services and 
activities particulars notification  
1. After receiving a notification pursuant to Article 6, the co mpetent 
authority of the home Member State shall, without undue delay, 
communicate the notified changes to the competent authority of the 
host Member State, using the form set out in Annex III, togethe r 
with a copy of the notification pursuant to Article 6.  
2. In the event that the authorisation of an investment firm or  credit 
institution is withdrawn or cancelled, the competent authority of the 
home Member State shall notify the competent authority of the h ost 
Member State, using the form set out in Annex III.  
Article 8  
Submission of the notification for the provision of arrangements to 
facilitate access to an MTF or an OTF  
An investment firm or a market operator operating an MTF or OTF  that 
intends to provide, within the territory of another host Member  State, 
appropriate arrangements to facilitate access to and trading on  those 
systems by remote users, members or participants established in  that 
host Member State shall notify to the competent authority of th e home 
Member State the details of the host Member State in which it i ntends 
to provide such arrangements, using the form set out in Annex I V. 
Article 9  
Communication regarding the notification for the provision of 
arrangements to facilitate access to an MTF or an OTF  
1. The competent authority of the home Member State shall, with in 1 
month of receiving the notification pursuant to Article 8, info rm the 
competent authority of the host Member State of that notificati on, using 
the form set out in Annex V, together with a copy of the notifi cation.  ▼B
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2. The competent authority of the home Member State shall, with out 
undue delay, inform the investment firm or the market operator 
operating an MTF or an OTF about the onward communication 
pursuant to paragraph 1, including the date of that communicati on. 
Article 10  
Submission of the change of particulars for the provision of 
arrangements to facilitate access to an MTF or an OTF notification  
1. In case of a change in any of the particulars of a notificat ion for 
the provision of arrangements to facilitate access to an MTF or  an OTF, 
the investment firm or the market operator operating an MTF or an OTF 
shall submit a notification to the competent authority of the h ome 
Member State using the form set out in Annex IV.  
2. For the purposes of the notification pursuant to paragraph 1 , the 
investment firm or the market operator operating an MTF or an O TF 
shall complete only those parts of the form set out in Annex IV  relevant 
to the changes in the particulars of the notification for the p rovision of 
arrangements to facilitate access to an MTF or an OTF.  
Article 11  
Communication regarding the change of particulars for the 
provision of arrangements to facilitate access to an MTF or an 
OTF notification  
After receiving a notification pursuant to Article 10(1), the c ompetent 
authority of the home Member State shall, without undue delay, 
communicate the notified changes to the competent authority of the 
host Member State, using the form set out in Annex III, togethe r with 
a copy of the notification.  
Article 12  
Submission of the branch passport notification  
An investment firm wishing to establish a branch within the ter ritory of 
another Member State shall submit to the competent authority of  the 
home Member State the information as required by Article 35(2) of 
Directive 2014/65/EU, using the form set out in Annex VI.  
Article 13  
Submission of the tied agent passport notification  
1. An investment firm or a credit institution referred to in Ar ticle 1(2)(b) 
wishing to use a tied agent established in another Member State  shall 
submit to the competent authority of the home Member State the 
information as required by Article 35(2) of Directive 2014/65/E U, using 
the form set out in Annex VII.  
2. Where an investment firm or credit institution referred to i n 
Article 1(2)(b) wishes to use more than one tied agents in anot her 
Member State it shall complete a separate notification in respe ct of 
each tied agent it intends to use.  ▼B
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3. An investment firm wishing to establish a branch which inten ds to 
use tied agents shall submit to the competent authority of the home 
Member State a separate tied agent passport notification in res pect of 
each tied agent by completing the form set out in Annex VII.  
Article 14  
Assessment of completeness and accuracy of the branch passport 
notification or tied agent passport notification  
1. Upon receipt of a notification pursuant to Article 12 or 13,  the 
competent authority of the home Member State shall assess the 
completeness and accuracy of the information provided.  
2. Where the information provided is found to be incomplete or 
incorrect, the competent authority of the home Member State sha ll, 
without undue delay, inform the investment firm or the credit i nsti­
tutions referred to in Article 1(2)(b) thereof. The competent a uthority 
of the home Member State shall indicate in which particular res pect the 
information has been found to be incomplete or incorrect.  
3. The 3-month period provided for in Article 35(3) and in the 
second subparagraph of Article 35(7) of Directive 2014/65/EU sh all 
begin upon receipt of a branch passport notification or tied ag ent 
passport notification containing information that is found to b e 
complete and correct.  
Article 15  
Communication regarding the branch passport notification  
1. The competent authority of the home Member State shall, with in 3 
months of receiving the branch passport notification pursuant t o 
Article 12, inform the competent authority of the host Member S tate 
of that notification, using the form set out in Annex VIII, tog ether with 
a copy of the notification.  
2. The competent authority of the home Member State shall, with out 
undue delay, inform the investment firm about the onward commun i­
cation pursuant to paragraph 1, including the date of that comm uni­
cation.  
3. The competent authority of the host Member State shall 
acknowledge receipt of the notification both to the competent 
authority of the home Member State and the investment firm.  
Article 16  
Communication regarding the tied agent passport notification  
1. The competent authority of the home Member State shall, with in 3 
months of receiving the tied agent passport notification pursua nt to 
Article 13, inform the competent authority of the host Member S tate 
of that notification, using the form set out in Annex IX, toget her with a 
copy of the notification.  ▼B
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2. The competent authority of the home Member State shall, with out 
undue delay, inform the investment firm or credit institution a bout the 
onward communication pursuant to paragraph 1, including the dat e of 
that communication.  
3. The competent authority of the host Member State shall 
acknowledge receipt of the notification both to the competent 
authority of the home Member State and the investment firm or c redit 
institution referred to in Article 1(2)(b).  
4. The tied agent shall not commence its proposed investment 
services or activities before it is registered in the public re gister in 
the Member State where that tied agent is established, in accor dance 
with Article 29(3) of Directive 2014/65/EU.  
5. The tied agent shall not commence its proposed investment 
services or activities before it has received the communication  from 
the competent authority of the host Member State.  
6. Where such a communication is not made, the tied agent can 
commence its proposed investment services and activities 2 mont hs 
after the date of submission of the communication by the compet ent 
authority of the home Member State, as referred to in paragraph  2 . 
Article 17  
Submission of the change of branch particulars notification  
1. In the event of a change in the particulars of a branch pass port 
notification, the investment firm shall submit to the competent  authority 
of the home Member State a notification using the form set out in 
Annex VI.  
The investment firm or credit institution shall complete only t hose parts 
of the form set out in Annex VI relevant to the changes in the 
particulars of the branch passport notification.  
2. Where the investment firm or credit institution intends to m ake 
changes to the investment services, activities, ancillary servi ces or 
financial instruments provided through tied agents, it shall no tify, 
using the form set out in Annex VI, a list of all the investmen t 
services, activities, ancillary services or financial instrumen ts that it 
provides through tied agents at the time of that notification o r intends 
to provide through tied agents in the future.  
3. Changes to the particulars of a branch passport notification  
concerning the termination of the operation of the branch shall  be 
notified using the form set out in Annex X.  
Article 18  
Submission of the change in the tied agent particulars notification  
1. In the event of a change in any of the particulars of a tied  agent 
passport notification, the investment firm or the credit instit ution 
referred to in Article 1(2)(b) shall submit to the competent au thority 
of the home Member State a notification, using the form set out  in 
Annex VII.  ▼B
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The investment firm or credit institution shall only complete t hose parts 
of the form set out in Annex VII relevant to the changes in the  
particulars of the tied agent passport notification.  
2. Where the investment firm intends to make changes to the 
investment services, activities, or financial instruments subje ct to a 
tied agent passport notification, it shall notify, in the form set out in 
Annex VI, a list of all the investment services, activities, or  financial 
instruments that it provides through the tied agent at the time  of notifi­
cation or intends to provide in the future.  
3. Changes to the particulars of a tied agent passport notifica tion 
concerning the cessation of the use of a tied agent established  in 
another Member State shall be notified using the form set out i n 
Annex X.  
Article 19  
Communication regarding the change of branch particulars 
notification  
1. After receiving a notification pursuant to Article 17(1), th e 
competent authority of the home Member State shall, without und ue 
delay, communicate the notified changes to the competent author ity of 
the host Member State, using the form set out in Annex XI, toge ther 
with a copy of the notification.  
2. After receiving a notification pursuant to Article 17(3), th e 
competent authority of the home Member State shall, without und ue 
delay, communicate the notified changes to the competent author ity of 
the host Member State, using the form set out in Annex XIII, to gether 
with a copy of the notification.  
Article 20  
Communication regarding the change of tied agent particulars 
notification  
1. After receiving a notification pursuant to Article 18(1), th e 
competent authority of the home Member State shall, without und ue 
delay, communicate the notified changes to the competent author ity of 
the host Member State, using the form set out in Annex XII, tog ether 
with a copy of the notification.  
2. After receiving a notification pursuant to Article 18(3), th e 
competent authority of the home Member State shall, without und ue 
delay, communicate the notified changes to the competent author ity of 
the host Member State, using the form set out in Annex XIII, to gether 
with a copy of the notification.  
Article 21  
Entry into force and application  
This Regulation shall enter into force on the day following tha t of its 
publication in the  Official Journal of the European Union . ▼B
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It shall apply from 3 January 2018.  
This Regulation shall be binding in its entirety and directly a pplicable in 
all Member States.  ▼B
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ANNEX I
  ▼B
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▼B
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ANNEX II
  ▼B
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ANNEX III
  ▼B
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ANNEX IV
  ▼B
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ANNEX V
  ▼B
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ANNEX VI
  ▼B
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▼B
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► (1) C1 ▼B
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ANNEX VII
  ▼B
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▼B
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▼B
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ANNEX VIII
  ▼B
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ANNEX IX
  ▼B
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ANNEX X
  ▼B
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▼B
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ANNEX XI
  ▼B
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ANNEX XII
  ▼B
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ANNEX XIII
  ▼B