Skip to main content

Home
FCA Handbook
MIFIDPRU
MIFIDPRU 5
MIFIDPRU 5 Annex 1 Notification under MIFIDPRU 5.6...

You are viewing the version of the document as on 2024-01-26.

MIFIDPRU 5 Annex 1 Notification under MIFIDPRU 5.6.3R and 5.9.3R that limits for concentration risk have been exceeded

MIFIDPRU 5 Annex 1R01/12/2021

1[Editor’s note: The forms can be found at this address: https://www.handbook.fca.org.uk/form/MIFIDPRU 5 Annex 1R(A) Notification under MIFIDPRU 5.6.3R that the concentration risk soft limit has been exceeded.pdf]

https://www.handbook.fca.org.uk/form/MIFIDPRU 5 Annex 1R(B) Notification under MIFIDPRU 5.9.3R of the concentration risk hard limit breach.pdf