21 - 31 of 31 items.
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Short Form A – Solo-regulated firms (including EEA and third country)
Chapter: 10C Annex 3D
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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Senior Managers Regime: Statement of Responsibilities
Chapter: 10C Annex 10D
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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Senior Managers Regime: Statement of Responsibilities
Chapter: 10C annex 10
Effective Date: 27th September 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: 10th December 2018
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Long Form A – UK and Overseas Firms (not Incoming EEA) for MiFID authorisation applications
Chapter: 10C annex 3
Effective Date: 10th December 2018
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Form C - Notice of ceasing to perform controlled functions including senior management functions
Chapter: 10C annex 5
Effective Date: 10th December 2018
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Senior Managers Regime: Statement of Responsibilities
Chapter: 10C annex 10
Effective Date: 10th December 2018
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Form D Notification - Changes to personal information/application details and conduct breaches/disciplinary action related to conduct
Chapter: 10C annex 6
Effective Date: 10th December 2018
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Form J - Notification of Significant Changes in Responsibilities of a Person Performing a Senior Management Function
Chapter: 10C annex 9
Effective Date: 10th December 2018