Publications

Filter results

Filter by topic

Historical publications

Filter by date
Date range

Filter by document type

Search results

Showing 12441 to 12450 of 18845 search results.

  1. MiFID Self Certification 6 Form [docx]

    Forms

    Published: 13/01/2017

    MiFID Self Certification 6 Form.

  2. MiFID Investment Only Supplement Notes [docx]

    Forms

    Published: 13/01/2017

  3. MiFID Controller Form: Natural Persons [docx]

    Forms

    Published: 13/01/2017

    Last modified: 17/01/2025

    MiFID Controller Form: Natural Persons

  4. MiFID Annex II: Notification form for the list of members of the management body [docx]

    Forms

    Published: 13/01/2017

    Last modified: 17/03/2022

    MiFID Annex II: Notification form for the list of members of the management body form

  5. MiFID Annex I: Application form for a data reporting services provider [docx]

    Forms

    Published: 13/01/2017

    Last modified: 17/03/2022

    MiFID Annex I: Application form for a data reporting services provider

  6. MiFID II – Application and notification user guide [pdf]

    Documents

    Published: 13/01/2017

    This user guide helps firms to decide which applications and notifications they should make to prepare for the implementation of MiFID II.

  7. Warning notice statement 17/1 – Individual [pdf]

    Warning notices

    Published: 13/01/2017

    The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 12 December 2016 proposing to take action in respect of the conduct summarised in this statement.

  8. MiFID AIFM Supplement Form [docx]

    Forms

    Published: 13/01/2017

    Last modified: 13/01/2017

  9. MiFID Fees and Levies Supplement Notes: Retail [docx]

    Forms

    Published: 13/01/2017

    Last modified: 01/10/2018

  10. MiFID Fees and Levies Supplement Form: Wholesale [docx]

    Forms

    Published: 13/01/2017

Did you find what you were looking for?