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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.

Status: In this content, we have included all amendments made by EU exit-related instruments up to end September 2020. There will be more amendments to be made later this year, further to the September QCP.

Article 1 General information

An applicant seeking authorisation as an investment firm in accordance to the United Kingdom’s legislation corresponding to Title II of Directive 2014/65/EU shall submit to the competent authority an application that includes the following general information:

  1. (a)

    its name (including its legal name and any other trading name to be used); legal structure (including information on whether it will be a legal person or, where allowed by national legislation, a natural person), address of the head office and, for existing companies, registered office; contact details; its national identification number, where available; as well as:

    1. (i)

      for domestic branches: information on where the branches will operate;

    2. (ii)

      for domestic tied agents: details on its intention to use tied agents;

  2. (b)

    the list of investment services and activities, ancillary services and financial instruments to be provided, and whether clients' financial instruments and funds will be held (even on a temporary basis).

  3. (c)

    copies of corporate documents and evidence of registration with the national register of companies, where applicable.