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  1. 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)
  2. Long Form A - MiFID [docx]

    Forms Published: 09/12/2021
    Long Form A - UK and Overseas Firms (not incoming EEA) for MiFID authorisation applications.
  3. Long Form A - Dual Regulated [docx]

    Forms Published: 09/12/2021
    Long Form A - Dual Regulated
  4. Short Form A - Solo-regulated firms [docx]

    Forms Published: 09/12/2021
    Short Form A - Solo-regulated firms (including EEA and third country)
  5. Long Form A - Solo-regulated firms [docx]

    Forms Published: 09/12/2021
    Long Form A - Solo-regulated firms (including EEA and third country)
  6. Short Form A - Dual-regulated firms [docx]

    Forms Published: 09/12/2021
    Short Form A - Dual-regulated firms (including EEA and third country firms)
  7. Notification under MIFIDPRU 4.12.7R [docx]

    Forms Published: 09/12/2021
    of the intended non-material change or extension to the use of an internal model
  8. Notification under MIFIDPRU 5.9.3R of the concentration risk hard limit breach [docx]

    Forms Published: 09/12/2021
    Notification under MIFIDPRU 5.9.3R of the concentration risk hard limit breach
  9. Notification under MIFIDPRU TP 7.4R(2)(b) [docx]

    Forms Published: 09/12/2021
    Notification under MIFIDPRU TP 7.4R(2)(b) on treating pre-MIFIDPRU capital instruments as own funds under MIFIDPRU 3
  10. Notification under MIFIDPRU for which there is no dedicated notification form [docx]

    Forms Published: 09/12/2021
    Notification under MIFIDPRU for which there is no dedicated notification form