81 - 100 of 481 items.
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Variation of Permission (VOP) Application: Investment Business
Chapter: SUP 6 Annex 5D: VoP: Investment
Effective Date: 26th June 2020
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FIN060b Small E-money Institution Questionnaire
Chapter: SUP 16 Annex 30JD
Effective Date: 27th March 2020
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FIN060a Authorised Electronic Money Institution Questionnaire
Chapter: SUP 16 Annex 30HD
Effective Date: 27th March 2020
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Alternative Investment Fund Managers Directive (AIFMD) material change notification
Chapter: 15 Annex 6C
Effective Date: 1st January 2020
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Notice of sub-threshold AIFM exceeding AUM limit
Chapter: 15 Annex 6D
Effective Date: 1st January 2020
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EuSEF and EuVECA management and marketing notifications
Chapter: 15 Annex 6F
Effective Date: 1st January 2020
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Cancellation of Part 4A Permission - Application Form
Chapter: 6 Annex 6D
Effective Date: 20th December 2019
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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: 9th December 2019
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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: 9th December 2019
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Long Form A – Solo-regulated firms (including EEA and third country)
Chapter: 10C Annex 3D
Effective Date: 9th December 2019
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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: 9th December 2019
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Notification procedures for changes to the management body for non-SMF Directors
Chapter: 15 annex 14R
Effective Date: 9th December 2019
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Short Form A – Solo-regulated firms (including EEA and third country)
Chapter: 10C Annex 3D
Effective Date: 9th December 2019