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
581 - 600 of 609 items.
-
Form of subordinated loan (with guidance notes)
Chapter: IPRU-INV Annex D 13.1
Effective Date: 1st October 2009
-
Prescribed Subordinated Loan Agreement
Chapter: IPRU-INV Annex D 5.1
Effective Date: 1st October 2009
-
Notes for completion: Approved Form of Subordinated Loan Agreement
Chapter: IPRU-INV Annex D 3.5
Effective Date: 1st October 2009
-
Consolidated supervision return for investment firms
Chapter: SUP 16 Annex 22
Effective Date: 1st April 2009
-
Calculation of a maximum rate of commission
Chapter: COBS 6 Annex 5
Effective Date: 1st November 2007
-
"Identifying and describing the maximum rate of commission (or equivalent)"
Chapter: COBS 6 Annex 4
Effective Date: 1st November 2007
-
Form of Bond for Authorised Professional Firms
Chapter: IPRU-INV Annex D 2
Effective Date: 1st November 2007
-
Cancellation of Part IV Permission
Chapter: Handbook Forms, Module: SUP
Effective Date: 1st July 2007
-
Guidance notes on completion of securities and futures firms' reporting forms
Chapter: SUP 16 Annex 11
Effective Date: 1st May 2007
-
Consolidated supervision return for investment firms (Notes)
Chapter: SUP 16 Annex 23
Effective Date: 6th April 2007
-
UCITS management companies reporting forms and requirements applying to their completion
Chapter: SUP 16 Annex 16
Effective Date: 6th April 2007
-
Investment Management firms' reporting forms and requirements applying to their completion
Chapter: SUP 16 Annex 5
Effective Date: 6th April 2007
-
Securities and Futures Firms' Reporting Forms and Requirements Applying to their Completion
Chapter: SUP 16 Annex 10
Effective Date: 6th April 2007