Publications
Search results
Showing 11871 to 11880 of 18845 search results.
-
Skipton Building Society: Senior Management Attestation [pdf]
Senior Management Attestation -
Skipton Building Society: Programme Designation Attestation [pdf]
-
TR17/1: Customer understanding: Retail banks and building societies [pdf]
Customer understanding: Retail banks and building societies. -
MS17/1.1: Investment Platforms Market Study Terms of Reference [pdf]
-
MiFID II passporting application form: service passport [pdf]
MiFID II notice of intention to provide cross-border services or to amend existing cross-border services passport -
MiFID II passporting application form: Branch passport [pdf]
MiFID II notice of intention to establish a branch or change branch particulars. -
MiFID II passporting application form: MTF/OTF notification [pdf]
MiFID II notice of intention to provide arrangements to facilitate the access to an MTF or an OTF from another EEA State or to amend details of these arrangements. -
MiFID II passporting application form: Tied agent notification [pdf]
MiFID II notice of intention to use a tied agent established in another EEA state or amend EEA tied agent details. -
TR17/1: Customer understanding: Retail banks and building societies
Thematic review into firms’ assessment of customer understanding of transactions delivered by retail banks and building societies to consumers. -
Final Notice 2017: David Samuel Watters [pdf]
This final notice refers to breaches of APER 6 related to a lack of competence in the pensions sector.