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Form H - Notification of Disciplinary Action relating to conduct rules staff (other than SMF managers) in SMCR firms
Chapter: 15 annex 7
Effective Date: 10th December 2018
-
Form I – Application to add, vary or remove a conditional approval for the performance of a senior management function
Chapter: 10C annex 8
Effective Date: 10th December 2018
-
Form D Notification - Changes to personal information/application details and conduct breaches/disciplinary action related to conduct
Chapter: 10C annex 6
Effective Date: 10th December 2018
-
Form E - Internal transfer of a person performing a controlled function for dual regulated firms
Chapter: 10C annex 7
Effective Date: 10th December 2018
-
Senior Management Regime: Statement of Responsibilities (Third Country Relevant Authorised Persons only)
Chapter: 10C annex 5
Effective Date: 10th December 2018
-
Short Form A – Dual-regulated firms (including EEA and third country firms)
Chapter: 10C annex 3
Effective Date: 10th December 2018
-
Long Form A – Dual-regulated firms (including EEA and third country firms)
Chapter: 10C annex 3
Effective Date: 10th December 2018
-
Annual questionnaire for authorised professional firms
Chapter: 16 Annex 9R
Effective Date: 1st October 2018
-
Guidance notes for completion of annual questionnaire for authorised professional firms in SUP 16 Annex 9R
Chapter: SUP 16 Annex 9AG
Effective Date: 1st October 2018
-
Short Form A – Large non-directive insurers only
Chapter: 10A Annex 4D
Effective Date: 1st October 2018
-
Form E - Internal transfer of an approved person (small non-directive insurers only)
Chapter: 10A Annex 8D
Effective Date: 1st October 2018
-
Short Form A – UK Relevant Authorised Persons and Third Country Relevant Authorised Persons only
Chapter: 10C Annex 2D
Effective Date: 1st October 2018
-
Long Form A – EEA Relevant Authorised Persons only
Chapter: 10C Annex 2D
Effective Date: 1st October 2018
-
Form E - Internal transfer of an approved person (for large non-directive insurers only)
Chapter: 10A Annex 8D
Effective Date: 1st October 2018
-
Long Form A – UK and Overseas Firms (not Incoming EEA)
Chapter: 10A
Effective Date: 1st October 2018
21 - 40 of 393 items.