Retail investment firms and authorisation forms

You must complete the forms and supporting documents below before applying to us for authorisation.

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). Read our detailed guide to MiFID applications and notifications.

Please use our online system Connect to download and submit these forms.

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