Publications

Showing 401 to 410 of 654 search results.

401. Margin IGT User Guide [pdf]

     Forms

     Published: 03/01/2017

     Applications for intragroup exemptions from the margin requirements under the UK European Market Infrastructure Regulation (“UK EMIR”).

402. Market Interface Specification (MIS) confidentiality agreement [docx]

     Forms

     Published: 31/10/2016

     Last modified: 03/04/2019

     Entities wishing to become submitting entities under MiFID II need to complete a confidentiality agreement to request a copy of the Market Interface Specification (MIS).

403. Transaction Reporting Errors and Failures Notification Form [docx]

     Forms

     Published: 20/09/2016

404. Guide to submitting a Delayed Disclosure of Inside Information notification [pdf]

     Forms

     Published: 01/07/2016

     Last modified: 12/12/2024

     Use this guide to submit a Delayed Disclosure of Inside Information notification.

405. Persons Discharging Manager Responsibilities (PDMR) Notification form [pdf]

     Forms

     Published: 25/05/2016

     Last modified: 17/06/2016

     Persons discharging managerial responsibilities (PDMRs) and persons closely associated with them are required, under MAR Article 19, to notify the issuer and the FCA of certain transactions in or related to the issuer’s financial instruments

406. Delayed disclosure of inside information notification form [pdf]

     Forms

     Published: 25/05/2016

     Last modified: 17/06/2016

     Under MAR, inside information must be announced as soon as possible and may only be delayed where certain conditions are met. From 3 July 2016, where an issuer has delayed disclosing inside information in accordance with MAR Article 17, the issuer

407. EMIR margin exemptions application form draft [pdf]

     Forms

     Published: 18/05/2016

     Last modified: 04/08/2016

408. Regulatory Sandbox – application form [docx]

     Forms

     Published: 09/05/2016

     Last modified: 22/10/2019

     We’ve set up a Regulatory Sandbox to enable a safe space for businesses to test innovative products, services, business models and delivery mechanisms

409. Modification by consent for a Hybrid Lifetime Mortgage - Direction [pdf]

     Forms

     Published: 07/04/2016

     Last modified: 05/08/2016

410. Variation of Permission (VoP) application - P2P agreements [pdf]

     Forms

     Published: 05/04/2016

     Last modified: 05/04/2016

     This is an application for the regulated activity Advising on P2P agreements to be removed from your firm’s Part 4A permission.