81 - 100 of 587 items.
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Add an appointed representative or tied agent form
Chapter: 12 Annex 3
Effective Date: 3rd January 2018
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Short Form A - EEA Relevant Authorised Persons Only
Chapter: 10C Annex 2D
Effective Date: 8th December 2017
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Investment services and activities passport notification
Chapter: 13 Annex 2
Effective Date: 4th December 2017
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Notification of intention to establish a branch in another EEA state (excluding the Payment Services Directive and Electronic Money Directive)
Chapter: 13 Annex 1
Effective Date: 4th December 2017
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Notice of intention to provide arrangements to facilitate the access to an MTF or an OTF from another EEA State under the Markets in Financial Instruments Directive (MiFID)
Chapter: 13 Annex 2
Effective Date: 4th December 2017
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Notice of intention to cancel arrangements to facilitate the access to an MTF or an OTF from another EEA State in accordance with the Markets in Financial Instruments Directive (MiFID)
Chapter: 13 Annex 2A
Effective Date: 4th December 2017
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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