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Showing 151 to 160 of 655 search results.

  1. Instructions for Defined Benefit Advice Assessment Tool (DBAAT) [pdf]

    Forms

    Published: 15/01/2021

    Instruction guide to help understand how to use the DBAAT or interpret the results from an FCA file review

  2. Defined Benefit Advice Assessment tool (DBAAT) [xlsx]

    Forms

    Published: 15/01/2021

    The DBAAT helps firms and pension transfer specialists understand our file review methodology for DB transfer advice

  3. Form TMPR CH: notification to amend a recognised EEA UCITS [doc]

    Forms

    Published: 07/01/2021

    Last modified: 27/02/2025

    Notification of certain changes to an EEA UCITS scheme and any sub-funds which are in the TMPR as required by Regulations 65 and 66 of the Collective Investment Schemes (Amendment etc.) (EU Exit) Regulations 2019.

  4. CRAs application for registration (form) [docx]

    Forms

    Published: 31/12/2020

    Last modified: 29/12/2022

    Application for registration form for credit rating agencies (CRAs).

  5. Contractual run-off notification form [docx]

    Forms

    Published: 31/12/2020

    Last modified: 01/07/2024

    Form to notify us of entry into the contractual run-off regime within the UK’s financial services contracts regime.

  6. CRAs application for certification (notes) [docx]

    Forms

    Published: 31/12/2020

    Last modified: 29/12/2022

    Application for certification notes for credit rating agencies (CRAs).

  7. Notification form: EEA ECD firms [pdf]

    Forms

    Published: 31/12/2020

    This form allows EEA ECD firms to notify us that your firm is using the ECD run-off regime.

  8. TR-1: Standard form for notification of major holdings [docx]

    Forms

    Published: 29/12/2020

    Standard form for notification of major holdings to be sent to the relevant issuer.

  9. Application for Registration: UK Securitisation Repository [docx]

    Forms

    Published: 02/12/2020

    Use this form to apply to become a UK securitisation repository (SR).

  10. STS Notification template (public) [xlsx]

    Forms

    Published: 23/11/2020

    Last modified: 30/11/2020

    Use this template to complete a securitisation STS notification.
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