Handbook Forms and Templates
Status: The UK has left the EU and the transition period has ended. Where any of our forms still contain EU references, please see our guide on completing our forms after the UK’s withdrawal from the EU. You can find our guide here
https://www.fca.org.uk/publication/corporate/guide-to-completing-our-forms-after-brexit.pdf
1 - 20 of 696 items.
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Form E - Internal transfer of a person performing a controlled function for solo-regulated firms (including EEA and thrid country)
Chapter: 10C Annex 7D
Effective Date: 26th October 2020
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Long Form A – Solo-regulated firms (including EEA and third country)
Chapter: 10C Annex 3D
Effective Date: 26th October 2020
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Senior Managers Regime: Statement of Responsibilities
Chapter: 10C Annex 10D
Effective Date: 26th October 2020
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Short Form A – Solo-regulated firms (including EEA and third country)
Chapter: 10C Annex 3D
Effective Date: 26th October 2020
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FIN-APF Authorised Professional Firms Questionnaire Information about the firm's professional regulation
Chapter: 16 Annex 9
Effective Date: 1st October 2020
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Form E -Internal transfer of a person performing a controlled function for solo-regulated firms (including EEA and third country)
Chapter: 10C Annex 7D
Effective Date: 1st October 2020
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Short Form A – Dual-regulated firms (including EEA and third country firms)
Chapter: 10C Annex 3D
Effective Date: 1st October 2020
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Guidance notes for completion of annual for authorised professional firms in SUP 16 Annex 9R
Chapter: 16 Annex 9A
Effective Date: 1st October 2020
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Short Form A – Solo-regulated firms (including EEA and third country)
Chapter: 10C Annex 3D
Effective Date: 1st October 2020
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Long Form A – UK and Overseas Firms (not Incoming EEA) for MiFID authorisation applications*
Chapter: 10C Annex 3D
Effective Date: 1st October 2020
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MLA-A4 Analysis of second charge loans to customers
Chapter: 16 annex 19AA R
Effective Date: 1st October 2020
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Long Form A – Solo-regulated firms (including EEA and third country)
Chapter: 10C Annex 3D
Effective Date: 1st October 2020
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Form E - Internal transfer of a person performing a controlled function for dual regulated firms
Chapter: 10C Annex 7D
Effective Date: 1st October 2020
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Guidance notes for data items in SUP 16 Annex 24R
Chapter: 16 Annex 25
Effective Date: 1st October 2020