Reset to Today

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004.

Content Options:

Add to favourites

View Options:

More Resources:

External link Handbook Publications

You are viewing the version of the document as on 2024-11-30.

Timeline guidance

Alternative versions

  1. Point in time
    2024-11-30

MIFIDPRU 5.6 Obligations for a firm that exceeds the concentration risk soft limit

MIFIDPRU 5.6.1R

1For as long as a firm exceeds the concentration risk soft limit for one or more clients or groups of connected clients, it must calculate the K-CON requirement.

MIFIDPRU 5.6.2R

1When a firm exceeds the concentration risk soft limit for a client or group of connected clients, it must notify the FCA without delay of the amount of the EVE, and the name of the individual client or group of connected clients.

MIFIDPRU 5.6.3R

1A firm must make the notification referred to in MIFIDPRU 5.6.2R by completing Part A of the form in MIFIDPRU 5 Annex 1R and submitting it using the online notification and application system.