Handbook Forms and Templates

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  • Short Form A - EEA Relevant Authorised Persons Only

    Chapter: 10C Annex 2D

    Effective Date: 8th December 2017

  • Tied agent passport notification

    Chapter: 13 Annex 1A

    Effective Date: 4th December 2017

  • Branch passport notification

    Chapter: 13 Annex 1A

    Effective Date: 4th December 2017

  • Investment services and activities passport notification

    Chapter: 13 Annex 2

    Effective Date: 4th December 2017

  • Senior Management Regime: Statement of Responsibilities

    Chapter: 10C Annex 5D

    Effective Date: 12th November 2017

  • SUP_16_ann_43A_REP016_20180930.pdf

    Chapter: 16

    Effective Date: 30th September 2017

  • Appointed representative or tied agent - change details

    Chapter: 12 Annex 4

    Effective Date: 13th September 2017

  • SUP_10A_ann_04_Short_A_SII_20170912.pdf

    Chapter: 10A

    Effective Date: 12th September 2017

  • SUP_10A_ann_4D_SOR_SII_20170912.pdf

    Chapter: 10A

    Effective Date: 12th September 2017

  • SUP_10A_ann_04_Long_A_SII_20170912.pdf

    Chapter: 10A Ann 4D

    Effective Date: 12th September 2017

  • SUP_16_Annex_19AAR_20171031.pdf

    Chapter: 16 Annex 19AAR

    Effective Date: 1st July 2017

  • SUP_16_ann_25_20170701.pdf

    Chapter: 16 annex 25

    Effective Date: 1st July 2017