Using Connect to submit EMIR notifications and applications

Please note the legacy EMIR web portal will be decommissioned on 31 March 2020. All counterparties are required to register on the FCA Connect system, our main FCA interface, in order to submit EMIR notifications and applications.

All EMIR notifications must be submitted using the FCA Connect system, except applications for intragroup exemptions from bilateral margining. These need to be submitted by email following the current process set out on our EMIR notifications and exemptions page.

For further details on the notifications and applications under EMIR, please see our EMIR notifications and exemptions webpage.

Registering on Connect 

All firms, including both FCA-authorised firms and non-regulated firms must be enrolled (and create a firm profile) on the FCA’s Connect system in order to submit EMIR notifications and applications.

You can register as a user on Connect to make EMIR notifications and applications in different ways depending on your firm's status:

1. If your firm already has access to Connect (FCA authorised firms):

FCA authorised firms will likely already have a Connect firm profile for other FCA submissions. If the individual(s) who will be responsible for submitting the EMIR forms already have a user profile, they can use that existing user profile.

If you require an additional user profile, your firm’s Connect Principal User can create an additional Connect access for the individual(s) who will be responsible for submitting the EMIR forms.

Alternatively, the individual(s) responsible for submitting the EMIR forms can create a new user account on Connect not linked to the firm profile. You will then need to ask your firm’s Connect Principal User to link your new user profile to the firm’s central account. Doing so will ensure that all the information related to your firm is linked to your firm’s Connect profile. Please follow this link to understand how to create a user profile.

2. If your firm does not already have access to Connect (Non-regulated firms):

This is most likely to be the case if you are a non-financial counterparty who is required to submit an EMIR notification or application.

From 10 February 2020, non-financial counterparties will need to be enrolled (with a firm profile) on Connect, in order to submit the relevant EMIR notifications and applications.

For queries on the registration and notification process, please contact our Contact Centre.

To create a new firm profile on Connect, non-financial counterparties should select the following options from the Connect main page and follow the relevant instructions on those pages, completing the relevant information:

  • Go to the FCA Main Connect page
  • Click 'Start an Application'
  • Click 'Authorise or Register a New Firm'
  • Click on 'Non-regulated Firm Enrolment'
  • Click on 'Start Application'
  • Complete the relevant details, ensuring the correct firm LEI is included, or if an LEI is not available, the full legal name of the firm
  • Details of the Principal User (including details of the person of appropriate seniority) should also be completed accordingly
  • Once you have completed all the relevant details, click 'Submit Application'

Once submitted, the FCA will need to review and approve the details submitted before a firm Connect profile can be used to submit EMIR notifications. The FCA has 7 business days to review the firm enrolment details and firms will be notified once the profile has been approved.

Firms should consider the 7-day period for the FCA to review new firm Connect profiles when submitting EMIR notifications and applications, particularly if such applications are required before a relevant date.

This change also applies to non-financial counterparties who have already submitted notifications and applications via the FCA’s Connect system and who do not have an approved firm Connect profile. Those firms must create a new firm Connect profile in order to continue using Connect to submit EMIR notifications and applications.

Follow this link to understand how to create a user profile.

3. Firm profiles on Connect

From 10 February 2020, all firms who are required to submit an EMIR notification or application are required to be enrolled (and create a firm profile) on the FCA’s Connect system. As a result, all firms will no longer be able to manually enter firm details when submitting an EMIR notification or application. A search functionality has been added.

Firms will need to ensure their firm’s Connect profile includes at least one of the following search functionalities:

  • Firm Reference Number (FRN)
  • Legal Entity Identifier (LEI)
  • Firm Name (full legal name)

What EMIR notifications and applications should be submitted via Connect

Firms will be required to submit the following EMIR notifications and applications via Connect:

  1. Financial counterparty clearing threshold notification (Article 4a)
  2. Non-financial counterparty clearing threshold notification (Article 10)
  3. Intragroup exemptions from the reporting requirements (Article 9)
  4. Dispute notifications (Article 11)
  5. Intragroup exemptions from the clearing obligation (Article 4)

Firms must submit notifications for intragroup exemptions from the margin requirements to [email protected], using the application templates provided in our EMIR notifications and exemptions webpage.

For further details on all the EMIR notifications and applications, please see our EMIR notifications and exemptions webpage.

How to submit EMIR notifications and applications via Connect

In order to submit any of the EMIR notifications or applications, firms must choose the options below and follow the instructions on the relevant pages, completing all relevant information:

  • Go to the Main FCA Connect page
  • Click on 'Start an Application'
  • Click on 'Notifications'
  • Click on 'European Market Infrastructure Regulation (EMIR)'
  • Click on 'Show More'
  • Choose the relevant EMIR notification or application and click 'Start Application'

Firms must ensure all mandatory fields within each notification are completed accurately, providing all relevant information.

All EMIR notifications must be submitted by a person with appropriate seniority, for example; an executive director, company secretary, or head of compliance.

For further queries on the registration and notification process via Connect, please contact our Contact Centre.