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Application under MIFIDPRU 2.4.17R for permission to apply the group capital test to an investment firm group instead of prudential consolidation [docx]
Application under MIFIDPRU 2.4.17R for permission to apply the group capital test to an investment firm group instead of prudential consolidation -
IIndividual exemption from liquidity requirements in MIFIDPRU 6 for FCA investment firms in consolidated CRR or MIFIDPRU groups [docx]
Individual exemption from liquidity requirements in MIFIDPRU 6 for FCA investment firms in consolidated CRR or MIFIDPRU groups -
Guidance on NPPR Connect notifications [docx]
Guidance on NPPR Connect notifications. -
Funeral plan trustee details document template [xlsx]
Funeral plan trustee details document template -
Remuneration Policy Statement (RPS) Table for AIFMs [xlsx]
Use this table to keep a record of AIFM Remuneration Code Staff identified for the current performance year, as required ESMA guidelines on remuneration policies under the AIFMD. -
Change of Legal Status - Deed poll [doc]
Change of Legal Status - Deed poll -
MIFIDPRU application forms [pdf]
MIFIDPRU application forms -
Reporting forms for CP2 [pdf]
Reporting forms for CP2 -
MIFIDPRU notification forms [pdf]
MIFIDPRU notification forms -
Supplement for securities and futures firms (complex) – notes [doc]
These notes help answer questions in the Supplement for securities and futures firms (complex) form. It also helps explain why we require the information we ask you for.