1 - 20 of 478 items.
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FIN073 - Baseline Financial Resilience Report
Chapter: 16 Annex 53R
Effective Date: 1st January 2024
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Guidance notes for FIN073 (‘Baseline Financial Resilience Report’
Chapter: 16 Annex 54G
Effective Date: 1st January 2024
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Form D – Notification: Changes to personal information/application details and conduct breaches/disciplinary action related to conduct
Chapter: 10C Annex 6R
Effective Date: 21st December 2023
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Form C: Notice of ceasing to perform controlled functions including senior management functions
Chapter: 10C Annex 5R
Effective Date: 21st December 2023
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On-going reporting by principal firms on their appointed representatives
Chapter: 12 Annex 6R
Effective Date: 15th December 2023
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Guidance notes for data items in SUP 16 Annex 24R
Chapter: 16 Annex 25G
Effective Date: 30th April 2023
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Appointed representative or tied agent – change details
Chapter: 12 Annex 4
Effective Date: 23rd April 2023
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Guidance notes for data items in SUP 16 Annex 24R
Chapter: 16 Annex 25G
Effective Date: 31st December 2022
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-On-going reporting by principal firms on their appointed representatives
Chapter: 12 Annex 6
Effective Date: 16th December 2022
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SUP 16 Annex 48AR Value measures report form (REP019)
Chapter: 16 Annex 48AR
Effective Date: 16th December 2022
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Form C - Notice of ceasing to perform controlled functions including senior management functions
Chapter: 10C Annex 5R
Effective Date: 19th October 2022