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Status: Please note you should read all Brexit changes to the FCA Handbook and BTS alongside the main FCA transitional directions. Where these directions apply the 'standstill', firms have the choice between complying with the pre-IP completion day rules, or the post-IP completion day rules. To see a full list of Handbook modules affected, please see Annex B to the main FCA transitional directions.

You are viewing the version of the document as on 2021-01-01.

Article 1 Information necessary for the registration

A third-country firm applying for the provision of investment services or performance of activities in the United Kingdom in accordance with the second subparagraph of Article 46(4) of Regulation (EU) No 600/2014 shall submit the following information to the Financial Conduct Authority:

  1. (a)

    full name of the firm, including its legal name and any other trading name to be used by the firm;

  2. (b)

    contact details of the firm, including the head office address, telephone number and email address;

  3. (c)

    contact details of the person in charge of the application, including telephone number and email address;

  4. (d)

    website, where available;

  5. (e)

    national identification number of the firm, where available;

  6. (f)

    legal entity identifier (LEI) of the firm, where available;

  7. (g)

    Business Identifier Code (BIC) of the firm, where available;

  8. (h)

    name and address of the competent authority of the third country that is responsible for the supervision of the firm; where more than one authority is responsible for supervision, the details of the respective areas of competence shall be provided;

  9. (i)

    the link to the register of each competent authority of the third country, where available;

  10. (j)

    information on which investment services, activities, and ancillary services it is authorised to provide in the country where the firm is established;

  11. (k)

    the investment services to be provided and activities to be performed in the United Kingdom, together with any ancillary services.