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Showing 521 to 530 of 655 search results.

  1. Controllers report form faq [pdf]

    Forms

    Published: 04/04/2013

    Last modified: 11/04/2013

  2. Professional Standards template help notes [xlsx]

    Forms

    Published: 03/04/2013

    Last modified: 04/08/2016

  3. Suspicious Transaction Reporting Form - PDF [pdf]

    Forms

    Published: 02/04/2013

    Last modified: 05/09/2014

    Please note this form is for the use of PRA or FCA Authorised firms only.

  4. Disclosure of Significant Events Application Notes [doc]

    Forms

    Published: 02/04/2013

    Last modified: 07/06/2023

    Disclosure of Significant Events Application Notes

  5. Owners and Influencers appendix form [doc]

    Forms

    Published: 02/04/2013

    Last modified: 02/04/2013

  6. Change of Legal Status Advisers and Arrangers of Wholesale Funds Form [doc]

    Forms

    Published: 02/04/2013

    Last modified: 02/04/2013

  7. Supplement for securities and futures firms (complex) [doc]

    Forms

    Published: 01/04/2013

    Last modified: 06/11/2023

    This supplement collects information that is specific to the type of business the applicant is applying for and is only applicable to firms that do not meet the difinition of a non-complex securities and futures firm

  8. Checklist and declaration [doc]

    Forms

    Published: 01/04/2013

    This form includes details about the application fee, a checklist of documents you need to send us, documents you need to make available to us and the declaration

  9. Variation of PSD [doc]

    Forms

    Published: 01/04/2013

    Last modified: 01/04/2013

    Authorisation / Registration

  10. Supplement for securities and futures firms (non-complex) [doc]

    Forms

    Published: 01/04/2013

    Last modified: 02/03/2026

    This supplement collects information that is specific to the type of business the applicant firm is applying for and is only applicable to firms that wish to carry on the following securities and futures activities.
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