1 - 20 of 536 items.
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REP018 Operational and Security Risk reporting form
Chapter: 16 Annex 27GD
Effective Date: 29th June 2018
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Long Form A - UK and Overseas Firms (not Incoming EEA) for MiFID authorisation applications
Chapter: 10A
Effective Date: 29th June 2018
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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
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Senior Management Regime: Statement of Responsibilities (Third Country Relevant Authorised Persons only)
Chapter: 10C
Effective Date: 29th June 2018
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Short Form A - Incoming EEA Only Application to perform controlled function under the approved persons regime
Chapter: 10A
Effective Date: 29th June 2018
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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
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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
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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
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Short Form A – UK Relevant Authorised Persons and Third Country Relevant Authorised Persons only
Chapter: 10C Annex 2
Effective Date: 23rd February 2018
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Short Form A – EEA Relevant Authorised Persons Only
Chapter: 10C Annex 2
Effective Date: 23rd February 2018
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Short Form A – UK Relevant Authorised Persons and Third Country Relevant Authorised Persons only
Chapter: 10C Annex 2D
Effective Date: 23rd February 2018