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MIFIDPRU 2 Annex 6R Additional portfolio questions [docx]
Application under MIFIDPRU 2.5.40R for permission to include a portfolio of a designated investment firm in a consolidated K-CMG requirement – Additional Portfolio Questions. -
MIFIDPRU 4 Annex 7R Additional portfolio questions [docx]
Application under MIFIDPRU 4.13.9R for permission to apply K-CMG to a portfolio, instead of K-NPR – Additional Portfolio Questions. -
Temporary permission regime (TPR) / Supervised run-off (SRO) cancellation (PSRs/EMRs) [docx]
Use this form to notify us when your firm will cease engaging in new business covered by the TPR. -
Temporary Permission Regime (TPR) to Supervised Run Off (SRO) notification form (PSD-EMD) [docx]
Use this form to notify us that your firm’s temporary permission for new business is ending, and you wish to enter the SRO. -
Article 4 Information Form [docx]
MiFID members of the management body and key function holders - Article 4 Information Form (SMR) -
Long Form A - MiFID [docx]
Long Form A - UK and Overseas Firms (not incoming EEA) for MiFID authorisation applications. -
Short Form A - Dual-regulated firms [docx]
Short Form A - Dual-regulated firms (including EEA and third country firms) -
Long Form A - Dual Regulated [docx]
Long Form A - Dual Regulated -
Long Form A - Solo-regulated firms [docx]
Long Form A - Solo-regulated firms (including EEA and third country) -
Notification under MIFIDPRU 5.9.3R of the concentration risk hard limit breach [docx]
Notification under MIFIDPRU 5.9.3R of the concentration risk hard limit breach