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Showing 121 to 130 of 655 search results.

  1. MIFIDPRU Remuneration Code: Material Risk Takers Template [xlsx]

    Forms

    Published: 22/10/2021

    This table is a tool for firms to keep a record of assessment of which staff are identified as Material Risk Takers as required by SYSC 19G.5.2.R

  2. MIFIDPRU 2 Annex 8R [pdf]

    Forms

    Published: 06/08/2021

    Notification under MIFIDPRU 2.4.20R of membership of an investment firm group and/or a financial conglomerate.

  3. MIFIDPRU 1 Annex 5R [pdf]

    Forms

    Published: 06/08/2021

    Application for a permission under MIFIDPRU for which there is no dedicated application form.

  4. IP1 - Template on proportion of voting-rights [pdf]

    Forms

    Published: 06/08/2021

    IP1 - Template on proportion of voting-rights

  5. Template OF1 - CompositTemplate OF1 - Composition of regulatory own fundsion of regulatory own funds [pdf]

    Forms

    Published: 06/08/2021

    Template OF1 - Composition of regulatory own funds

  6. Funeral plan Variation of Permission (VoP) application form [pdf]

    Forms

    Published: 03/08/2021

    For funeral plan providers and funeral plan intermediaries

  7. Funeral plan application for authorisation supplement form [pdf]

    Forms

    Published: 03/08/2021

    Supplement for funeral plan providers and funeral plan intermediaries applying for authorisation

  8. Funeral plan application form guidance notes [pdf]

    Forms

    Published: 03/08/2021

    Notes for funeral plan providers and funeral plan intermediaries to help fill in the application form for authorisation

  9. Funeral plan Variation of Permission (VoP) application form guidance notes [pdf]

    Forms

    Published: 03/08/2021

    Notes for funeral plan providers and funeral plan intermediaries filling out the Variation of Permission (VoP) application form

  10. Funeral plan supplement form guidance notes [pdf]

    Forms

    Published: 03/08/2021

    Supplement for funeral plan providers and funeral plan intermediaries - notes
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