You must complete the forms and supporting documents below before applying to us for authorisation.
Please use our online system Connect to download and submit these forms.
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 |
✓ |
|
| MIFIDPRU Supplement | ✓ (MiFID firms only) | |
|
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:
|
|
✓ |
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 | ✓ |