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  1. MiFID Annex I: Application form for a data reporting services provider [docx]

    Forms

    Published: 13/01/2017

    Last modified: 17/03/2022

    MiFID Annex I: Application form for a data reporting services provider

  2. MiFID II – Application and notification user guide [pdf]

    Documents

    Published: 13/01/2017

    This user guide helps firms to decide which applications and notifications they should make to prepare for the implementation of MiFID II.

  3. Warning notice statement 17/1 – Individual [pdf]

    Warning notices

    Published: 13/01/2017

    The Financial Conduct Authority (the FCA) gave an individual a Warning Notice on 12 December 2016 proposing to take action in respect of the conduct summarised in this statement.

  4. MiFID AIFM Supplement Form [docx]

    Forms

    Published: 13/01/2017

    Last modified: 13/01/2017

  5. MiFID Fees and Levies Supplement Notes: Retail [docx]

    Forms

    Published: 13/01/2017

    Last modified: 01/10/2018

  6. MiFID Fees and Levies Supplement Form: Wholesale [docx]

    Forms

    Published: 13/01/2017

  7. MiFID Fees and Levies Supplement Notes: Wholesale [docx]

    Forms

    Published: 13/01/2017

  8. MiFID Investment and Home Finance Supplement Form [docx]

    Forms

    Published: 13/01/2017

    Last modified: 09/12/2019

    Application for authorisation. Supplement for firms selling investments and home finance

  9. MiFID Investment and Home Finance Supplement Notes [docx]

    Forms

    Published: 13/01/2017

  10. MiFID Controller Form: Legal Persons and Partnerships [docx]

    Forms

    Published: 13/01/2017

    Last modified: 17/03/2022

    MiFID Controller Form: Legal Persons and Partnerships
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