Publications

Showing 7791 to 7800 of 18820 search results.

7791. Multilateral MoU concerning consultation, cooperation and the exchange of information between each of the EEA competent authorities and the FCA [pdf]

      Memorandums of understanding

      Published: 04/01/2021

      Multilateral MoU concerning consultation, cooperation and the exchange of information between each of the EEA competent authorities and the FCA

7792. Memorandum of Understanding concerning consultation, co-operation and the exchange of information between ESMA and the FCA [pdf]

      Memorandums of understanding

      Published: 04/01/2021

      MoU concerning consultation, cooperation and the exchange of information between ESMA and the FCA

7793. TPR firms with BCD, EMD or PSD activities [csv]

      Data

      Published: 31/12/2020

      This sheet is for the purpose of Open Banking and is limited to showing firms in the TPR which previously held passports under the Second E-money Directive, Payment Services Directive or Banking Consolidation Directive.

7794. 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).

7795. 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.

7796. Direction: FSMA applications [pdf]

      Handbook

      Published: 31/12/2020

      Direction stating that firms in the UK’s temporary permissions regime should not submit an application for full authorisation in the UK until told by the FCA to do so.

7797. 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).

7798. Direction: no s.272 applications [pdf]

      Handbook

      Published: 31/12/2020

      Direction stating that fund managers should not submit an application for the full recognition of a fund in the UK’s temporary marketing permission regime under FSMA s.272 until told by the FCA to do so.

7799. 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.

7800. Notification following entry into contractual run-off (FSMA) [pdf]

      Handbook

      Published: 31/12/2020

      Direction covering the notification to the FCA of an EEA firm’s entry into the contractual run-off regime within the UK’s financial services contracts regime.