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Variation of Permission (VOP) Application Claims Management
Chapter: 6 Annex 5D
Effective Date: 1st April 2019
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Variation of Permission (VOP) Application Applications for Insurance Business, Banking, Electronic Money, Lloyd’s Market and Funeral Plan Providers
Chapter: 6 Annex 5D
Effective Date: 1st April 2019
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Variation of Permission (VOP) Application Home Finance Mediation and General Insurance Distribution Activities
Chapter: 6 Annex 5D
Effective Date: 1st April 2019
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Variation of Permission (VOP) Application Investment Business
Chapter: 6 Annex 5D
Effective Date: 1st April 2019
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Form C - Notice of ceasing to perform controlled functions including senior management functions
Chapter: 10C annex 5
Effective Date: 10th December 2018
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Senior Management Regime: Statement of Responsibilities
Chapter: 10C annex 5
Effective Date: 10th December 2018
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Senior Managers Regime: Statement of Responsibilities
Chapter: 10C annex 10
Effective Date: 10th December 2018
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Form J - Notification of Significant Changes in Responsibilities of a Person Performing a Senior Management Function
Chapter: 10C annex 9
Effective Date: 10th December 2018
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Long Form A – UK and Overseas Firms (not Incoming EEA) for MiFID authorisation applications
Chapter: 10C annex 3
Effective Date: 10th December 2018
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Form B - Notice to withdraw an application to perform controlled functions (including senior management functions)
Chapter: 10C annex 4
Effective Date: 10th December 2018
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Form B - Notice to withdraw an application to perform controlled functions (including senior management functions)
Chapter: 10C Annex 4R
Effective Date: 10th December 2018
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MIFID members of the management body and key function holders - Article 4 Information Form (SMR)
Chapter: 10C annex 11
Effective Date: 10th December 2018
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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
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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
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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
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Form E - Internal transfer of a person performing a controlled function for dual regulated firms
Chapter: 10C annex 7
Effective Date: 10th December 2018
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Senior Management Regime: Statement of Responsibilities (Third Country Relevant Authorised Persons only)
Chapter: 10C annex 5
Effective Date: 10th December 2018
41 - 60 of 633 items.