Publications
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Application under MIFIDPRU 3.6.2R for permission to reduce own funds instruments where neither condition in MIFIDPRU 3.6.3R applies [docx]
Application under MIFIDPRU 3.6.2R for permission to reduce own funds instruments where neither condition in MIFIDPRU 3.6.3R applies -
Application under MIFIDPRU 4.5.9R for permission to rebase fixed overhead requirement [docx]
Application under MIFIDPRU 4.5.9R for permission to rebase fixed overhead requirement to a lower amount where firm's / group's projected relevant expenditure decreases by a material amount -
Application under MIFIDPRU 4.11.9R [docx]
Application under MIFIDPRU 4.11.9R for permission to exclude positions taken to hedge against the adverse effect of the exchange rate on the own funds or an item deducted from capital from net open currency positions for the purpose of article 352 -
Application under MIFIDPRU 4.12.66R [docx]
Application under MIFIDPRU 4.12.66R for permission to use sensitivity models to calculate interest rate risk on derivative instruments in accordance with article 331(1) of the UK CRR -
Application under MIFIDPRU 4.12.6R [docx]
Application under MIFIDPRU 4.12.6R for permission to make a material change or a material extension to the use of an advanced internal market risk model -
Application under MIFIDPRU 4.12.4R for permission to use an advanced internal market risk model [docx]
Application under MIFIDPRU 4.12.4R for permission to use an advanced internal market risk model -
Application under MIFIDPRU 2.3.1R to be exempt from disclosure requirements in MIFIDPRU 8 (Disclosure by investment firms) for SNI firms in consolidated insurance groups. [docx]
Application under MIFIDPRU 2.3.1R to be exempt from disclosure requirements in MIFIDPRU 8 (Disclosure by investment firms) for SNI firms in consolidated insurance groups. -
Application under MIFIDPRU 3.3.2R for permission to include interim or year-end profits as common equity tier 1(CET1) capital before the firm has taken a formal decision confirming the final profit and loss for the year [docx]
Application under MIFIDPRU 3.3.2R for permission to include interim or year-end profits as common equity tier 1(CET1) capital before the firm has taken a formal decision confirming the final profit and loss for the year -
Annual attestation form for second and subsequent attestations and notification under SUP 16.28.9R [pdf]
Example attestation form relating to price setting for GI firms for subsequent years -
First annual attestation form for the GI pricing rules [pdf]
Example attestation form related to price setting for GI firms for the first year