41 - 60 of 536 items.
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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: 4th December 2017
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Senior Management Regime: Statement of Responsibilities
Chapter: 10C Annex 5D
Effective Date: 12th November 2017
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Senior Management Regime: Statement of Responsibilities (Third Country Relevant Authorised Persons only)
Chapter: 10C Annex 5D
Effective Date: 12th November 2017
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Short Form A – UK Relevant Authorised Persons and Third Country Relevant Authorised Persons only
Chapter: 10C Annex 2D
Effective Date: 12th November 2017
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Form E Internal transfer of an approved person (for firms and individuals subject to the senior management regime)
Chapter: 10C Annex 3D
Effective Date: 12th November 2017
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Long Form A – UK Relevant Authorised Persons and Third Country Relevant Authorised Persons only
Chapter: 10 C Annex 2D
Effective Date: 12th November 2017
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Senior Management Regime: Statement of Responsibilities (Third Country Relevant Authorised Persons only)
Chapter: 10C Annex 5D
Effective Date: 12th November 2017
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Appointed representative or tied agent - change details
Chapter: 12 Annex 4
Effective Date: 13th September 2017