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Form E - Internal transfer of a person performing a controlled function for solo-regulated firms (including EEA and thrid country)
Chapter: 10C Annex 7D
Effective Date: 26th October 2020
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Long Form A – Solo-regulated firms (including EEA and third country)
Chapter: 10C Annex 3D
Effective Date: 26th October 2020
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Senior Managers Regime: Statement of Responsibilities
Chapter: 10C Annex 10D
Effective Date: 26th October 2020
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Short Form A – Solo-regulated firms (including EEA and third country)
Chapter: 10C Annex 3D
Effective Date: 26th October 2020
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FIN-APF Authorised Professional Firms Questionnaire Information about the firm's professional regulation
Chapter: 16 Annex 9
Effective Date: 1st October 2020
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Form E -Internal transfer of a person performing a controlled function for solo-regulated firms (including EEA and third country)
Chapter: 10C Annex 7D
Effective Date: 1st October 2020
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Short Form A – Dual-regulated firms (including EEA and third country firms)
Chapter: 10C Annex 3D
Effective Date: 1st October 2020
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Guidance notes for completion of annual for authorised professional firms in SUP 16 Annex 9R
Chapter: 16 Annex 9A
Effective Date: 1st October 2020
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Short Form A – Solo-regulated firms (including EEA and third country)
Chapter: 10C Annex 3D
Effective Date: 1st October 2020
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Long Form A – UK and Overseas Firms (not Incoming EEA) for MiFID authorisation applications*
Chapter: 10C Annex 3D
Effective Date: 1st October 2020
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MLA-A4 Analysis of second charge loans to customers
Chapter: 16 annex 19AA R
Effective Date: 1st October 2020
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Long Form A – Solo-regulated firms (including EEA and third country)
Chapter: 10C Annex 3D
Effective Date: 1st October 2020
-
Form E - Internal transfer of a person performing a controlled function for dual regulated firms
Chapter: 10C Annex 7D
Effective Date: 1st October 2020
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Guidance notes for data items in SUP 16 Annex 24R
Chapter: 16 Annex 25
Effective Date: 1st October 2020
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Long Form A – Dual-regulated firms (including EEA and third country firms)
Chapter: 10C Annex 3D
Effective Date: 1st October 2020
1 - 20 of 666 items.