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Showing 81 to 90 of 655 search results.

  1. Article 4 Information Form [docx]

    Forms

    Published: 15/12/2021

    MiFID members of the management body and key function holders - Article 4 Information Form (SMR)

  2. Long Form A - MiFID [docx]

    Forms

    Published: 09/12/2021

    Last modified: 16/07/2026

    Long Form A - UK and Overseas Firms (not incoming EEA) for MiFID authorisation applications.

  3. Long Form A - Solo-regulated firms [docx]

    Forms

    Published: 09/12/2021

    Last modified: 19/01/2026

    Long Form A - Solo-regulated firms (including EEA and third country)

  4. Short Form A - Dual-regulated firms [docx]

    Forms

    Published: 09/12/2021

    Last modified: 16/07/2026

    Short Form A - Dual-regulated firms (including EEA and third country firms)

  5. Long Form A - Dual Regulated [docx]

    Forms

    Published: 09/12/2021

    Last modified: 16/07/2026

    Long Form A - Dual Regulated

  6. Notification under MIFIDPRU 5.9.3R of the concentration risk hard limit breach [docx]

    Forms

    Published: 09/12/2021

    Notification under MIFIDPRU 5.9.3R of the concentration risk hard limit breach

  7. Notification under MIFIDPRU TP 1. [docx]

    Forms

    Published: 09/12/2021

    Notification under MIFIDPRU TP 1.8R of the intended treatment of instruments which were issued and met the conditions to be classified as additional tier 1 instruments in accordance with the UK CRR before 1 January 2022

  8. Notification under MIFIDPRU TP 7.4R(2)(b) [docx]

    Forms

    Published: 09/12/2021

    Notification under MIFIDPRU TP 7.4R(2)(b) on treating pre-MIFIDPRU capital instruments as own funds under MIFIDPRU 3

  9. Notification under MIFIDPRU 4.12.7R [docx]

    Forms

    Published: 09/12/2021

    of the intended non-material change or extension to the use of an internal model

  10. Notification under MIFIDPRU for which there is no dedicated notification form [docx]

    Forms

    Published: 09/12/2021

    Notification under MIFIDPRU for which there is no dedicated notification form
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