Handbook Forms and Templates

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  • Certification – Form A Application for a periodical publication certificate

    Chapter: 7.6.2

    Effective Date: 1st July 2018

  • Certification – Form B Application for a TV or radio service certificate

    Chapter: 7.6.2

    Effective Date: 1st July 2018

  • Certification – Form C Application for news or information service certificate

    Chapter: 7.6.2

    Effective Date: 1st July 2018

  • REP018 Operational and Security Risk reporting form

    Chapter: 16 Annex 27GD

    Effective Date: 29th June 2018

  • Form of Waiver: Energy Market Participant

    Chapter: 21 Annex 1

    Effective Date: 29th June 2018

  • Long Form A - UK and Overseas Firms (not Incoming EEA)

    Chapter: 10A

    Effective Date: 29th June 2018

  • Long Form A - UK and Overseas Firms (not Incoming EEA) for MiFID authorisation applications

    Chapter: 10A

    Effective Date: 29th June 2018

  • Form E Internal transfer of an approved person

    Chapter: 10A

    Effective Date: 29th June 2018

  • Long Form A - Incoming EEA only

    Chapter: 10A

    Effective Date: 29th June 2018

  • Interim Prudential Sourcebook Insurers

    Chapter: IPRU-INS

    Effective Date: 29th June 2018

  • Short Form A - UK and Overseas Firms (not Incoming EEA) Application to perform controlled function under the approved persons regime

    Chapter: 10A

    Effective Date: 29th June 2018

  • Senior Management Regime: Statement of Responsibilities (Third Country Relevant Authorised Persons only)

    Chapter: 10C

    Effective Date: 29th June 2018

  • Short Form A - Incoming EEA Only Application to perform controlled function under the approved persons regime

    Chapter: 10A

    Effective Date: 29th June 2018

  • Senior Management Regime: Statement of Responsibilities

    Chapter: 10C

    Effective Date: 29th June 2018

  • Reporting Fields

    Chapter: 16 Annex 21

    Effective Date: 29th June 2018

  • Retail Mediation Activities Return ('RMAR')

    Chapter: 16 annex 18A

    Effective Date: 1st April 2018

  • Notice of the termination of the operation of a branch or cessation of the use of a tied agent established in another EEA state in accordance with the Markets in Financial Instruments Directive (MiFID)

    Chapter: 13 annex 1A

    Effective Date: 23rd March 2018

  • Notice of intention to use a tied agent established in another EEA state or to amend the details of a tied agent established in another EEA state in accordance with the Markets in Financial Instruments Directive (MiFID) (tied agent passport notification)

    Chapter: 13 annex 1A

    Effective Date: 23rd March 2018

  • Notice of intention to establish a branch or change branch particulars in another EEA state in accordance with the Markets in Financial Instruments Directive (MiFID) (Branch passport notification)

    Chapter: 13 annex 1A

    Effective Date: 23rd March 2018

  • Notification to amend firm details

    Chapter: 15 annex 3

    Effective Date: 23rd March 2018