Retail intermediaries and authorisation

Whether you’re a retail investment firm, an insurance broker or a mortgage provider, you have to be authorised by us. Find out what forms you may need to complete.

Whatever kind of retail intermediary you are, you can’t be authorised unless you meet the standards set out in our Conduct of Business Sourcebook.

If you’re a retail broker dealing with investments, you also have to be authorised by us according to the terms of the Markets in Financial Instruments Directive (MiFID).

Forms definitely required

Forms to fill in MiFID/Article 3 application non-MiFID application

MiFID authorisation form

 

List of members of the management body

 

 

Core details

 

MiFID annex

 

MiFID individuals forms

 

MiFID IT assessment questionnaire

 

IT self-assessment questionnaire

 

Fees and levies supplement – retail firms

 

Checklist and declaration form

Supplement for firms selling:

  • investment only
  • investment and home finance
  • investment and non-investment insurance contracts
  • investment, home finance and non-investment insurance contracts

 

 

Supplement for firms selling:

  • non-investment insurance contracts
  • home finance only
  • home finance and non-investment insurance contracts

 

 

Forms possibly required – depending on your structure

Forms to fill in MiFID application non-MiFID application

MiFID controllers forms

 

Controllers forms  
Individuals forms  

Disclosure of significant events appendix

Owners and influencers appendix

 

Sole traders appendix

 

Other types of firms

Detailed information

Go to related content