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Final Notice 2017: Deutsche Bank [pdf]
This final notice refers to breaches of PRIN 3 and SYSC related to culture/governance and financial crime in the investment bank sector. We imposed a fine. -
CP17/3: Proposed Handbook changes to reflect the new regulatory framework for Insurance Linked Securities [pdf]
We are consulting on our proposals for the changes required to the FCA Handbook to incorporate the new regulated activity of insurance risk transformation. -
Market Data Processor (MDP) on-boarding application form [doc]
This MDP on-boarding application form is used to advise us what MiFID II data types an entity will be submitting. -
Correspondence with chief executive of Standard Chartered Bank concerning appointment of Tracey McDermott [pdf]
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Direction under section 55U and section 60 and related provisions of the Financial Services and Markets Act 2000 [pdf]
The purpose of this Direction is to: (a) create the “Long Form A – UK and Overseas Firms (not Incoming EEA) for MiFID authorisation applications”; (b) amend the Supervision manual to add the “Long Form A – UK and Overseas Firms (not -
MiFID Annex Notes [docx]
MiFID Annex Notes -
Final notice 2017: Eco Home Alternatives Limited [pdf]
This final notice refers to breaches of PRIN11 and COND relating to failing to be open and co-operative in the consumer credit sector. We imposed a refusal. -
MiFID Annex I: Application form for a data reporting services provider notes [docx]
This guidance provides clarification on completing the application for a DRSP. -
MiFID AIFM supplement form [docx]
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MiFID Self Certification GEN Form [docx]