Firms may adopt the 2023 FIA Tech Regulatory Protocol either by electronic completion directly within Docs, or by submission of the attached Adoption Letter to Docs.Support@fia-tech.com.
Adoption Letter Details
For firms opting to adopt the Protocol by means of an adoption letter completed outside of the system, please note the following:
- An individual adoption letter will need to be completed for each legal entity that intends to adopt the Protocol
- Legal entity names should be provided in the same form as has been registered within Docs, and present on Give-Up Agreements.
- The following fields are required for Adoption via this letter:
- Contact Details - Contacts who will be receiving Protocol-eligible Transition Notices
- Adopting Party Legal Entity Name
- Signatory Name
- Signatory Title
Conformed system users are encouraged to share this letter with impacted non-conformed parties, in order to assist with Protocol adoption in advance of agreement transitions.