1 - 20 of 406 items.
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Form H - Notification of Disciplinary Action relating to conduct rules staff (other than SMF managers) in SMCR firms
Chapter: 15 Annex 7
Effective Date: 9th December 2019
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MIFID members of the management body and key function holders - Article 4 Information Form (SMR)
Chapter: 10C annex 11
Effective Date: 9th December 2019
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Long Form A – Solo-regulated firms (including EEA and third country)
Chapter: 10C Annex 3D
Effective Date: 9th December 2019
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Form E - Internal transfer of a person performing a controlled function for solo-regulated firms (including EEA and third country)
Chapter: 10C Annex 7D
Effective Date: 9th December 2019
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Notification procedures for changes to the management body for non-SMF Directors
Chapter: 15 annex 14R
Effective Date: 9th December 2019
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Short Form A – Solo-regulated firms (including EEA and third country)
Chapter: 10C Annex 3D
Effective Date: 9th December 2019
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Senior Managers Regime: Statement of Responsibilities
Chapter: 10C Annex 10D
Effective Date: 9th December 2019
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Senior Managers Regime: Statement of Responsibilities for solo-regulated firms
Chapter: 10C Annex 10D
Effective Date: 9th December 2019
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Senior Managers Regime: Statement of Responsibilities
Chapter: 10C annex 10
Effective Date: 27th September 2019
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REP020 Quarterly statistics on availability and performance of dedicated interfaces
Chapter: 16 Annex 46A
Effective Date: 14th September 2019
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FSA056 Authorised Payment Institution Capital Adequacy Return
Chapter: 16 Annex 27C
Effective Date: 31st May 2019
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Variation of Permission (VOP) Application Consumer Credit Activities
Chapter: 6 Annex 5D
Effective Date: 1st April 2019
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Variation of Permission (VOP) Application Claims Management
Chapter: 6 Annex 5D
Effective Date: 1st April 2019