Handbook Forms and Templates

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  • 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

  • Short Form A – UK Relevant Authorised Persons and Third Country Relevant Authorised Persons only

    Chapter: 10C Annex 2

    Effective Date: 23rd February 2018

  • Short Form A – EEA Relevant Authorised Persons Only

    Chapter: 10C Annex 2

    Effective Date: 23rd February 2018

  • Short Form A – UK Relevant Authorised Persons and Third Country Relevant Authorised Persons only

    Chapter: 10C Annex 2D

    Effective Date: 23rd February 2018

  • Client Money and Asset Return (CMAR)

    Chapter: 16 Annex 29AR

    Effective Date: 22nd January 2018

  • REP017 Payments Fraud Report

    Chapter: 16 Annex 27E

    Effective Date: 13th January 2018

  • Small Payment Institution Return

    Chapter: 16 Annex 28C

    Effective Date: 13th January 2018

  • Form NOT003 AIS/PIS denial (notification by account servicing payment service providers under regulation 71)

    Chapter: 15 Annex 10

    Effective Date: 13th January 2018

  • Authorised electronic money institution questionnaire

    Chapter: 16 Annex 30H

    Effective Date: 13th January 2018

  • Small electronic money institution questionnaire

    Chapter: 16 Annex 30J

    Effective Date: 13th January 2018

  • Form NOT002 Payment Account Service rejections or withdrawals (notification by credit institutions under regulation 105)

    Chapter: 15 Annex 9

    Effective Date: 13th January 2018

  • Form Notification of major operational or security incidents

    Chapter: 15 Annex 11

    Effective Date: 13th January 2018

  • Authorised Payment Institution Capital Adequacy Return

    Chapter: 16 Annex 27C

    Effective Date: 13th January 2018

  • MiFID Article 4 APER Information Form

    Chapter: 10A annex 10

    Effective Date: 3rd January 2018

  • MiFID Article 4 SMR Information Form

    Chapter: 10C annex 7

    Effective Date: 3rd January 2018

  • Add an appointed representative or tied agent form

    Chapter: 12 Annex 3

    Effective Date: 3rd January 2018