Publications

Showing 51 to 60 of 666 search results.

51. Application for entry on register of SEF Managers [docx]

    Forms

    Published: 10/03/2022

    Last modified: 30/03/2022

    Application for entry on register of SEF Managers

52. Application for entry on register of RVECA Managers [docx]

    Forms

    Published: 10/03/2022

    Last modified: 30/03/2022

    Application for entry on register of RVECA Managers

53. Notification of senior personnel that effectively direct the business of a SEF and/or RVECA fund [docx]

    Forms

    Published: 10/03/2022

    Last modified: 29/03/2022

    Notification of senior personnel that effectively direct the business of a SEF and/or RVECA fund

54. Application under MIFID 4-14-6r additional firm questions [docx]

    Forms

    Published: 11/02/2022

    Application under MIFIDPRU 4.14.6R for permission to exclude transactions with some counterparties from K-TCD requirement -Additional firm questions.

55. Application under MIFID 4-11-9r additional firm questions [docx]

    Forms

    Published: 11/02/2022

    Application under MiFID 4.11.9R for permission to exclude positions taken to hedge against the adverse effect of the exchange rate on the own funds or an item deducted from capital from net open currency positions for the purpose of article 352 of

56. Application under MIFID 4-12-66r additional firm questions [docx]

    Forms

    Published: 11/02/2022

    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 – Additional firm questions

57. MIFIDPRU 4 Annex 7R Additional portfolio questions [docx]

    Forms

    Published: 11/01/2022

    Application under MIFIDPRU 4.13.9R for permission to apply K-CMG to a portfolio, instead of K-NPR – Additional Portfolio Questions.

58. MIFIDPRU 2 Annex 7R Additional portfolio questions [docx]

    Forms

    Published: 11/01/2022

    Application under MIFIDPRU 2.5.41R for permission to include a portfolio of a third country entity in a consolidated K-CMG requirement – Additional Portfolio Questions.

59. MIFIDPRU 2 Annex 6R Additional portfolio questions [docx]

    Forms

    Published: 11/01/2022

    Application under MIFIDPRU 2.5.40R for permission to include a portfolio of a designated investment firm in a consolidated K-CMG requirement – Additional Portfolio Questions.

60. Temporary Permission Regime (TPR) to Supervised Run Off (SRO) notification form (PSD-EMD) [docx]

    Forms

    Published: 05/01/2022

    Use this form to notify us that your firm’s temporary permission for new business is ending, and you wish to enter the SRO.