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  1. Long Form A - MiFID [docx]

    Forms Published: 09/12/2021 Last modified: 27/05/2022
    Long Form A - UK and Overseas Firms (not incoming EEA) for MiFID authorisation applications.

  2. Long Form A - Dual Regulated [docx]

    Forms Published: 09/12/2021 Last modified: 07/06/2023
    Long Form A - Dual Regulated

  3. Long Form A - Solo-regulated firms [docx]

    Forms Published: 09/12/2021 Last modified: 12/07/2022
    Long Form A - Solo-regulated firms (including EEA and third country)

  4. Short Form A - Dual-regulated firms [docx]

    Forms Published: 09/12/2021 Last modified: 07/06/2023
    Short Form A - Dual-regulated firms (including EEA and third country firms)

  5. 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

  6. 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

  7. 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

  8. Notification under MIFIDPRU TP 1. [docx]

    Forms Published: 09/12/2021
    Notification under MIFIDPRU TP 1.8R of the intended treatment of instruments which were issued and met the conditions to be classified as additional tier 1 instruments in accordance with the UK CRR before 1 January 2022

  9. 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

  10. Notification under MIFIDPRU 4.12.10R and 4.14.20R of the intended use of own delta estimates [docx]

    Forms Published: 09/12/2021
    Notification under MIFIDPRU 4.12.10R and 4.14.20R of the intended use of own delta estimates