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Application under MIFIDPRU 2.3.1R to be exempt from disclosure requirements in MIFIDPRU 8 (Disclosure by investment firms) for SNI firms in consolidated insurance groups. [docx]
Application under MIFIDPRU 2.3.1R to be exempt from disclosure requirements in MIFIDPRU 8 (Disclosure by investment firms) for SNI firms in consolidated insurance groups. -
Application under MIFIDPRU 4.12.66R [docx]
Application under MIFIDPRU 4.12.66R for permission to use sensitivity models to calculate interest rate risk on derivative instruments in accordance with article 331(1) of the UK CRR -
Application under MIFIDPRU 4.12.6R [docx]
Application under MIFIDPRU 4.12.6R for permission to make a material change or a material extension to the use of an advanced internal market risk model -
Application under MIFIDPRU 4.12.4R for permission to use an advanced internal market risk model [docx]
Application under MIFIDPRU 4.12.4R for permission to use an advanced internal market risk model -
Application under MIFIDPRU 3.3.2R for permission to include interim or year-end profits as common equity tier 1(CET1) capital before the firm has taken a formal decision confirming the final profit and loss for the year [docx]
Application under MIFIDPRU 3.3.2R for permission to include interim or year-end profits as common equity tier 1(CET1) capital before the firm has taken a formal decision confirming the final profit and loss for the year -
Annual notification transaction log [xlsx]
Annual notification transaction log. November 2021. -
Annual attestation form for second and subsequent attestations and notification under SUP 16.28.9R [pdf]
Example attestation form relating to price setting for GI firms for subsequent years -
First annual attestation form for the GI pricing rules [pdf]
Example attestation form related to price setting for GI firms for the first year -
Cover letter for Qualtrics survey for GI pricing attestation [pdf]
Attesting compliance with the requirements in ICOBS 6B effective 1 January 2022 -
Final Notice 2021: Convert My Conservatory [pdf]
This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the credit broking sector. We refused the firm’s application for authorisation.