Handbook Forms and Templates

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  • REC_03_ann_01_20170901.pdf

    Chapter: 3

    Effective Date: 1st September 2017

  • SUP_16_Annex_19AAR_20171031.pdf

    Chapter: 16 Annex 19AAR

    Effective Date: 1st July 2017

  • SUP_16_ann_25_20170701.pdf

    Chapter: 16 annex 25

    Effective Date: 1st July 2017

  • Complaints return

    Chapter: 1 ANnex 1

    Effective Date: 30th June 2017

  • Notification of Disciplinary Action relating to conduct rules staff (other than SMF managers) in relevant authorised persons

    Chapter: 15

    Effective Date: 3rd May 2017

  • Reporting Fields

    Chapter: 16 Annex 21

    Effective Date: 31st March 2017

  • Short Form A – Solvency II firms only - Application to perform controlled functions

    Chapter: 10A Annex 4

    Effective Date: 7th March 2017

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

    Chapter: 10C Annex 2

    Effective Date: 7th March 2017

  • Long Form A – EEA Relevant Authorised Persons only

    Chapter: 10C Annex 2

    Effective Date: 7th March 2017

  • Form E Internal transfer of an approved person (for large non-directive insurers only)

    Chapter: 10A Annex 8

    Effective Date: 7th March 2017

  • Form E Internal transfer of an approved person (for firms and individuals subject to the senior management regime)

    Chapter: 10C Annex 3

    Effective Date: 7th March 2017

  • Form E Internal transfer of an approved person (for Solvency II firms only)

    Chapter: 10A Annex 8

    Effective Date: 7th March 2017

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

    Chapter: 10C Annex 2D

    Effective Date: 7th March 2017

  • Short Form A – EEA Relevant Authorised Persons Only

    Chapter: 10C Annex 2D

    Effective Date: 7th March 2017

  • Short Form A – Large non-directive insurers only - Application to perform controlled functions

    Chapter: 10A Annex 4D

    Effective Date: 7th March 2017

  • Long Form A – Large non-directive insurers only - Application to perform controlled functions

    Chapter: 10A Annex 4

    Effective Date: 7th March 2017

  • Long Form A – Solvency II firms only (March 2017)

    Chapter: 10A Annex 4

    Effective Date: 7th March 2017

  • Long Form A – Solvency II firms only - Application to perform controlled functions

    Chapter: 10A Annex 4

    Effective Date: 7th March 2017

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

    Chapter: 10A Annex 4

    Effective Date: 30th January 2017

  • Application for Authorisation

    Chapter: 10A Annex 4

    Effective Date: 30th January 2017