Publications

Showing 51 to 60 of 650 search results.

51. CRO cancellation form [docx]

    Forms

    Published: 11/04/2022

    CRO cancellation form

52. MiFID Transparency Waiver Form [docx]

    Forms

    Published: 07/04/2022

    MiFID Transparency Waiver Form

53. Corporate - Notification for Change in Controller (Section 178 notice) [doc]

    Forms

    Published: 22/03/2022

    Last modified: 17/01/2025

    This form should be completed by a director of a corporate entity that wishes to acquire control or to increase control in a firm or in a parent undertaking of the firm.

54. Application for entry on register of SEF Managers [docx]

    Forms

    Published: 10/03/2022

    Last modified: 30/03/2022

    Application for entry on register of SEF Managers

55. Application for entry on register of RVECA Managers [docx]

    Forms

    Published: 10/03/2022

    Last modified: 30/03/2022

    Application for entry on register of RVECA Managers

56. Notification of senior personnel that effectively direct the business of a SEF and/or RVECA fund [docx]

    Forms

    Published: 10/03/2022

    Last modified: 29/03/2022

    Notification of senior personnel that effectively direct the business of a SEF and/or RVECA fund

57. Application under MIFID 4-14-6r additional firm questions [docx]

    Forms

    Published: 11/02/2022

    Application under MIFIDPRU 4.14.6R for permission to exclude transactions with some counterparties from K-TCD requirement -Additional firm questions.

58. Application under MIFID 4-12-66r additional firm questions [docx]

    Forms

    Published: 11/02/2022

    Application under MIFIDPRU 4.12.66R for permission to use sensitivity models to calculate interest rate risk on derivative instruments in accordance with article 331(1) of the UK CRR – Additional firm questions

59. Application under MIFID 4-11-9r additional firm questions [docx]

    Forms

    Published: 11/02/2022

    Application under MiFID 4.11.9R for permission to exclude positions taken to hedge against the adverse effect of the exchange rate on the own funds or an item deducted from capital from net open currency positions for the purpose of article 352 of

60. MIFIDPRU 2 Annex 7R Additional portfolio questions [docx]

    Forms

    Published: 11/01/2022

    Application under MIFIDPRU 2.5.41R for permission to include a portfolio of a third country entity in a consolidated K-CMG requirement – Additional Portfolio Questions.