Publications

  1. Publications
  2. Publications search results

Filter results

Filter by document type

Filter by year

Sort by:

Search results

Clear all filters

Showing 61 to 70 of 666 search results.

  1. Temporary permission regime (TPR) / Supervised run-off (SRO) cancellation (PSRs/EMRs) [docx]

    Forms

    Published: 05/01/2022

    Last modified: 19/12/2022

    Use this form to notify us when your firm will cease engaging in new business covered by the TPR.

  2. Article 4 Information Form [docx]

    Forms

    Published: 15/12/2021

    MiFID members of the management body and key function holders - Article 4 Information Form (SMR)

  3. Long Form A - MiFID [docx]

    Forms

    Published: 09/12/2021

    Last modified: 24/05/2024

    Long Form A - UK and Overseas Firms (not incoming EEA) for MiFID authorisation applications.

  4. Short Form A - Dual-regulated firms [docx]

    Forms

    Published: 09/12/2021

    Last modified: 24/05/2024

    Short Form A - Dual-regulated firms (including EEA and third country firms)

  5. Long Form A - Solo-regulated firms [docx]

    Forms

    Published: 09/12/2021

    Last modified: 24/05/2024

    Long Form A - Solo-regulated firms (including EEA and third country)

  6. Long Form A - Dual Regulated [docx]

    Forms

    Published: 09/12/2021

    Last modified: 24/05/2024

    Long Form A - Dual Regulated

  7. Notification under MIFIDPRU 5.9.3R of the concentration risk hard limit breach [docx]

    Forms

    Published: 09/12/2021

    Notification under MIFIDPRU 5.9.3R of the concentration risk hard limit breach

  8. Notification under MIFIDPRU 4.12.7R [docx]

    Forms

    Published: 09/12/2021

    of the intended non-material change or extension to the use of an internal model

  9. Notification under MIFIDPRU TP 1. [docx]

    Forms

    Published: 09/12/2021

    Notification under MIFIDPRU TP 1.8R of the intended treatment of instruments which were issued and met the conditions to be classified as additional tier 1 instruments in accordance with the UK CRR before 1 January 2022

  10. Notification under MIFIDPRU TP 7.4R(2)(b) [docx]

    Forms

    Published: 09/12/2021

    Notification under MIFIDPRU TP 7.4R(2)(b) on treating pre-MIFIDPRU capital instruments as own funds under MIFIDPRU 3