IFPR reporting, applications and notifications

Find out how to submit MIFIDPRU applications and notifications, and information about MIF returns.

MIFIDPRU applications and notifications

Our gateway for MIFIDPRU applications and notifications is now open. 

All MIFIDPRU permission application forms and MIFIDPRU notification forms are now available and must be submitted via Connect.

We've listed all MIFIDPRU forms below for information only. To view a specific application or notification form, please look:

Changes to MiFID authorisation applications

As part of the implementation of the IFPR we have updated our authorisation forms so that they reflect the new regime.

New versions of the MiFID annex form and a new MIFIDPRU supplement form are now available on Connect and should be used for all authorisation applications under MiFID going forward.

To help you complete these forms, use these guidance notes:

MIFIDPRU TP 7.4R(2)(b) notification

On 27 May 2022 we published Handbook Notice 99, which follows from our consultation in chapter 7 of CP22/4.

The Investment Firms Prudential Regime (Amendment) Instrument 2022 made the following changes in connection with transitional own funds notifications under MIFIDPRU TP 7:

  • extending the deadline for the MIFIDPRU TP 7.4R(2)(b) notifications until 29 June 2022
  • extending the scope of MIFIDPRU TP 7 to include former IFPRU investment firms and former consolidating UK CRR parent undertakings where those entities did not obtain approvals under the UK CRR before 1 January 2022
  • giving firms and parent entities the opportunity to update the terms of non-MIFIDPRU 3 compliant capital instruments issued before 1 January 2022 to make them compliant and still be able to then benefit from notification under MIFIDPRU TP 7 (rather than make a MIFIDPRU 3 application), provided that this can be done before the new 29 June 2022 notification deadline
  • updating related Handbook guidance (MIFIDPRU 3.6) to provide further clarity on how these provisions operate

MIFIDPRU TP 7 notifications submitted on or before 1 January 2022 remain valid. Late TP notifications received after the original 1 January 2022 deadline but on or before 29 June 2022 are now also valid. However, to be effective, the instruments listed in the TP 7 notifications must meet the relevant eligibility criteria in MIFIDPRU 3.

If you're an FCA investment firm

You must use Connect to submit your TP 7 notification.

If you're a parent undertaking that we don't regulate, and you don't have access to Connect

Please notify us by completing a MIFIDPRU TP 7 form and emailing it to [email protected] by 29 June 2022.

Reporting completion guidance

Helpful information and guidance

We remind you that there is additional guidance in how to complete the MIFIDPRU returns in MIFIDPRU 9 Annex 2.

Page updates

: Editorial amendment page update as part of website refresh
: Information changed MIFIDPRU TP 7.4R(2)(b) notification