Wholesale investment firms and authorisation forms

Depending on the type of firm you are, you may need to complete different applications forms. Find out what forms you may need to complete here.

Under a European directive, MiFID, some firms have to send information to us in a prescribed format. Firms that carry out activities in relation to financial instruments and the places where they are traded should use the MiFID/Article 3 application forms as shown in the table below. The main financial instruments are:

  • Transferable securities
  • Units in collective investment schemes
  • Money-market instruments
  • Derivatives (including commodity derivatives)
  • Contracts for difference
  • Emission allowances

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

 

Individuals forms

 

MiFID (IT) assessment questionnaire

 

IT self-assessment questionnaire

 

Fees and levies supplement – wholesale firms

Checklist and declaration form

Checklist and declaration form for home finance providers, if applicable

 

Supplement for Small Authorised UK AIFM

Full Scope UK AIFM (Alternative Investment Fund Manager)

 

Supplement for your wholesale investment firm type:

  • investment managers
  • non-complex securities and futures
  • complex securities and futures
  • advisers or arrangers of wholesale funds
  • insurance firms
  • insurance special purpose vehicles
  • home finance providers
  • Lloyd’s managing agents
  • personal pension scheme providers

 

Forms possibly required – depending on your structure

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

MiFID Controller forms

 

Controller forms

 

Disclosure of significant events appendix

Owners and influencers appendix

 

Sole traders appendix  

Other types of firms

Detailed information

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