Publications
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POATR - cross-reference checklist – PRM Appendix 2 Annex 3 [docx]
POATR - cross-reference checklist – PRM Appendix 2 Annex 3 – registration document for secondary issuances of equity securities. -
POATR – cross-reference checklist – PRM Appendix 2 Annex 2 [docx]
POATR – cross-reference checklist – PRM Appendix 2 Annex 2 – universal registration document. -
POATR – cross-reference list – PRM Appendix 1 Annex 2 [docx]
POATR – cross-reference list – PRM Appendix 1 Annex 2 - prospectus summary. -
Related party circular – Closed-ended investment funds checklist [docx]
Related party circular – Closed-ended investment funds checklist -
Eligibility for listing Non-equity shares and non-voting equity shares [docx]
Eligibility for listing Non-equity shares and non-voting equity shares -
Certificates representing certain securities (depositary receipts) [docx]
Certificates representing certain securities (depositary receipts) -
Sponsor declaration application listing new class or new holding company 2026 [docx]
Sponsor declaration application listing new class or new holding company 2026. -
Eligibility for listing Equity shares (international commercial companies secondary listing) [docx]
Eligibility for listing Equity shares (international commercial companies secondary listing) -
Prudential regulatory reporting by MIFIDPRU investment firms – data quality review
Findings on the data quality of prudential regulatory reporting of investment firms. -
Notice of Decision 2025: Paul Daykin [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.