Showing 41 to 50 of 674 search results.

41. 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

42. 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.

43. 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

44. 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

45. MIFIDPRU 4 Annex 7R Additional portfolio questions [docx]

    Forms Published: 11/01/2022
    Application under MIFIDPRU 4.13.9R for permission to apply K-CMG to a portfolio, instead of K-NPR – Additional Portfolio Questions.

46. 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.

47. MIFIDPRU 2 Annex 6R Additional portfolio questions [docx]

    Forms Published: 11/01/2022
    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.

48. Temporary permission regime (TPR) / Supervised run-off (SRO) cancellation (PSRs/EMRs) [docx]

    Forms Published: 05/01/2022 Last modified: 19/12/2022
    Use this form to notify us when your firm will cease engaging in new business covered by the TPR.

49. Temporary Permission Regime (TPR) to Supervised Run Off (SRO) notification form (PSD-EMD) [docx]

    Forms Published: 05/01/2022
    Use this form to notify us that your firm’s temporary permission for new business is ending, and you wish to enter the SRO.

50. Article 4 Information Form [docx]

    Forms Published: 15/12/2021
    MiFID members of the management body and key function holders - Article 4 Information Form (SMR)