We are jointly consulting with the PRA on proposed changes to forms used by MiFID investment firms.
Why are we issuing this consultation paper?
In order to comply with our obligations under MiFID II we are proposing amendments to some of the forms that MiFID investment firms submit to the FCA and PRA. In transposing the MiFID Technical Standards the FCA will collect additional information about members of the firm’s management body. Additionally, we are also proposing an amendment to our Handbook to extend the deadline that firms have to submit a Form C, when notifying us of an approved person ceasing to perform a controlled function.
The FCA is consulting jointly with the PRA on this change in Chapter 7 of the Occasional Consultation Paper.
Who is this consultation aimed at?
This consultation will be of interest to MiFID Investment firms.
Next steps
We want to know what you think of our proposals and welcome comments via email by 3 November 2017:
FCA: [email protected]
PRA: [email protected]
The proposed amendments in this consultation are intended to be brought into effect on 3 January 2018.