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Form C - Notice of ceasing to perform controlled functions including senior management functions
Chapter: 10C Annex 5R
Effective Date: 19th October 2022
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Form D Notification - Changes to personal information/application details and conduct breaches/disciplinary action related to conduct
Chapter: 10C Annex 6R
Effective Date: 19th October 2022
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Notification under MIFIDPRU for which there is no dedicated notification form
Chapter: 1 Annex 6R
Effective Date: 1st January 2022
-
Application for a permission under MIFIDPRU for which there is no dedicated application form
Chapter: 1 Annex 5R
Effective Date: 1st January 2022
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Notification under MIFIDPRU TP 1.8R of the intended treatment of instruments which were issued and met the conditions to be classified as additional tier 1 instruments in accordance with the UK CRR before 1 January 2022
Chapter: TP 1 Annex 1R
Effective Date: 1st January 2022
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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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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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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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Short Form A – Solo-regulated firms (including EEA and third country)
Chapter: 10C Annex 3D
Effective Date: 1st October 2020
-
Long 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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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 – Solo-regulated firms (including EEA and third country) Application to perform controlled functions including senior management functions
Chapter: SUP 10C Annex 3D
Effective Date: 26th June 2020
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Long Form A – Solo-regulated firms Application to perform controlled functions including senior management
Chapter: SUP 10C Annex 3D
Effective Date: 26th June 2020
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Form O – Notification of change to firm classification under the Senior Managers
Chapter: 23 Annex 2R
Effective Date: 9th December 2019
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Senior Managers Regime: Statement of Responsibilities for solo-regulated firms
Chapter: 10C Annex 10D
Effective Date: 9th 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
1 - 20 of 31 items.