Publications

Showing 101 to 110 of 650 search results.

101. Application under MIFIDPRU 4.11.9R [docx]

     Forms

     Published: 19/11/2021

     Application under MIFIDPRU 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

102. Application under MIFIDPRU 2.3.1R to be exempt from disclosure requirements in MIFIDPRU 8 (Disclosure by investment firms) for SNI firms in consolidated insurance groups. [docx]

     Forms

     Published: 19/11/2021

     Application under MIFIDPRU 2.3.1R to be exempt from disclosure requirements in MIFIDPRU 8 (Disclosure by investment firms) for SNI firms in consolidated insurance groups.

103. Application under MIFIDPRU 3.3.2R for permission to include interim or year-end profits as common equity tier 1(CET1) capital before the firm has taken a formal decision confirming the final profit and loss for the year [docx]

     Forms

     Published: 19/11/2021

     Application under MIFIDPRU 3.3.2R for permission to include interim or year-end profits as common equity tier 1(CET1) capital before the firm has taken a formal decision confirming the final profit and loss for the year

104. Annual attestation form for second and subsequent attestations and notification under SUP 16.28.9R [pdf]

     Forms

     Published: 19/11/2021

     Example attestation form relating to price setting for GI firms for subsequent years

105. First annual attestation form for the GI pricing rules [pdf]

     Forms

     Published: 19/11/2021

     Example attestation form related to price setting for GI firms for the first year

106. MIFIDPRU Remuneration Code: Material Risk Takers Template [xlsx]

     Forms

     Published: 22/10/2021

     This table is a tool for firms to keep a record of assessment of which staff are identified as Material Risk Takers as required by SYSC 19G.5.2.R

107. MIFIDPRU 1 Annex 5R [pdf]

     Forms

     Published: 06/08/2021

     Application for a permission under MIFIDPRU for which there is no dedicated application form.

108. MIFIDPRU 2 Annex 8R [pdf]

     Forms

     Published: 06/08/2021

     Notification under MIFIDPRU 2.4.20R of membership of an investment firm group and/or a financial conglomerate.

109. IP1 - Template on proportion of voting-rights [pdf]

     Forms

     Published: 06/08/2021

     IP1 - Template on proportion of voting-rights

110. Template OF1 - CompositTemplate OF1 - Composition of regulatory own fundsion of regulatory own funds [pdf]

     Forms

     Published: 06/08/2021

     Template OF1 - Composition of regulatory own funds