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Direction under section 55U and section 60 and related provisions of the Financial Services and Markets Act 2000 [pdf]
The purpose of this Direction is to: (a) create the “Long Form A – UK and Overseas Firms (not Incoming EEA) for MiFID authorisation applications”; (b) amend the Supervision manual to add the “Long Form A – UK and Overseas Firms (not -
MiFID Annex Notes [docx]
MiFID Annex Notes -
Final notice 2017: Eco Home Alternatives Limited [pdf]
This final notice refers to breaches of PRIN11 and COND relating to failing to be open and co-operative in the consumer credit sector. We imposed a refusal. -
MiFID Annex I: Application form for a data reporting services provider notes [docx]
This guidance provides clarification on completing the application for a DRSP. -
MiFID AIFM supplement form [docx]
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MiFID Self Certification GEN Form [docx]
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MiFID investment services and activities and investments types form [docx]
MiFID investment services and activities and investments types form. -
Handbook Notice 40 [pdf]
This Handbook Notice introduces the Handbook and other material made by the Financial Conduct Authority (FCA) Board under its legislative powers on 25 January 2017. It also contains information about other publications relating to the Handbook. -
Regulation round-up January 2017 [pdf]
Regulation round-up is our monthly email to all regulated firms, updating you on the latest news that affects your sector. -
Final Notice 2017: Christopher Pickerill [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.