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Guidance notes for completion of annual for authorised professional firms in SUP 16 Annex 9R
Chapter: 16 Annex 9A
Effective Date: 1st October 2020
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Short Form A – Solo-regulated firms (including EEA and third country)
Chapter: 10C Annex 3D
Effective Date: 1st October 2020
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Long Form A – UK and Overseas Firms (not Incoming EEA) for MiFID authorisation applications*
Chapter: 10C Annex 3D
Effective Date: 1st October 2020
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MLA-A4 Analysis of second charge loans to customers
Chapter: 16 annex 19AA R
Effective Date: 1st October 2020
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Long Form A – Solo-regulated firms (including EEA and third country)
Chapter: 10C Annex 3D
Effective Date: 1st October 2020
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Form E - Internal transfer of a person performing a controlled function for dual regulated firms
Chapter: 10C Annex 7D
Effective Date: 1st October 2020
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Guidance notes for data items in SUP 16 Annex 24R
Chapter: 16 Annex 25
Effective Date: 1st October 2020
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Long Form A – Dual-regulated firms (including EEA and third country firms)
Chapter: 10C Annex 3D
Effective Date: 1st October 2020
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Guidance notes for data items in SUP 16 Annex 24R
Chapter: SUP 16 Annex 25
Effective Date: 1st October 2020
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Variation of Permission (VOP) Application Consumer Credit Activities
Chapter: SUP 6 Annex 5D: VoP: Consumer Credit
Effective Date: 26th June 2020
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Cancellation of Part 4A Permission - Application Form
Chapter: 6 Annex 6 (timeline version)
Effective Date: 26th June 2020
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Short Form A – Solo-regulated firms (including EEA and third country) Application to perform controlled functions including senior management functions
Chapter: SUP 10C Annex 3D
Effective Date: 26th June 2020
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Variation of Permission (VOP) Application Home Finance Mediation and General Insurance Distribution Activities
Chapter: SUP 6 Annex 5D: VoP: HF
Effective Date: 26th June 2020
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Long Form A – Solo-regulated firms Application to perform controlled functions including senior management
Chapter: SUP 10C Annex 3D
Effective Date: 26th June 2020
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Variation of Permission (VOP) Application Claims Management
Chapter: SUP 6 Annex 5D (VoP) Application
Effective Date: 26th June 2020
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Variation of Permission (VOP) Application: Investment Business
Chapter: SUP 6 Annex 5D: VoP: Investment
Effective Date: 26th June 2020
161 - 180 of 801 items.