Wholesale investment firms and authorisation forms

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:

  • 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  

Page updates

04/01/2022: Information changed Updated to reflect the IFPR coming into force on 1 January 2022
15/12/2021: Information added IFPR update
28/07/2021: Editorial amendment Changed MiFID PRU to MIFIDPRU
27/07/2021: Information added MiFID PRU Supplement