1 - 20 of 675 items.
-
Financial resources for Securities and Futures Firms which are not MiFID Investment Firms or which are Exempt BIPRU Commodities Firms or Exempt IFPRU Commodities Firms
Chapter: Chapter 3
Effective Date: 30th April 2021
-
SUP 6 Annex 6D (Cancellation of Part 4A Permission - Application Form)
Chapter: SUP 6 Annex 6D
Effective Date: 4th March 2021
-
SUP 6 Annex 6D (Cancellation of Part 4A Permission - Application Form)
Chapter: SUP 6 Annex 6D
Effective Date: 4th March 2021
-
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
-
Long Form A – Solo-regulated firms (including EEA and third country)
Chapter: 10C Annex 3D
Effective Date: 26th October 2020
-
Senior Managers Regime: Statement of Responsibilities
Chapter: 10C Annex 10D
Effective Date: 26th October 2020
-
Short Form A – Solo-regulated firms (including EEA and third country)
Chapter: 10C Annex 3D
Effective Date: 26th October 2020
-
FIN-APF Authorised Professional Firms Questionnaire Information about the firm's professional regulation
Chapter: 16 Annex 9
Effective Date: 1st October 2020
-
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
-
Short Form A – Dual-regulated firms (including EEA and third country firms)
Chapter: 10C Annex 3D
Effective Date: 1st October 2020
-
Guidance notes for completion of annual for authorised professional firms in SUP 16 Annex 9R
Chapter: 16 Annex 9A
Effective Date: 1st October 2020
-
Short Form A – Solo-regulated firms (including EEA and third country)
Chapter: 10C Annex 3D
Effective Date: 1st October 2020
-
Long Form A – UK and Overseas Firms (not Incoming EEA) for MiFID authorisation applications*
Chapter: 10C Annex 3D
Effective Date: 1st October 2020