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  1. SRO firms with BCD, EMD or PSD activities [csv]

    Data Published: 31/12/2020
    This sheet is for the purpose of Open Banking and is limited to showing firms in SRO which previously held passports under the Second E-money Directive, Payment Services Directive or Banking Consolidation Directive.

  2. Contractual run-off notification form [docx]

    Forms Published: 31/12/2020
    Form to notify us of entry into the contractual run-off regime within the UK’s financial services contracts regime.

  3. Supervised run-off notification form [docx]

    Forms Published: 31/12/2020
    Form to notify us of entry into the supervised run-off regime within the UK’s financial services contracts regime.

  4. CRAs application for registration (form) [docx]

    Forms Published: 31/12/2020
    Application for registration form for credit rating agencies (CRAs).

  5. CRAs application for certification (form) [docx]

    Forms Published: 31/12/2020
    Application for certification form for credit rating agencies (CRAs).

  6. CRAs application for registration (notes) [docx]

    Forms Published: 31/12/2020
    Application for registration notes for credit rating agencies (CRAs).

  7. CRAs application for certification (notes) [docx]

    Forms Published: 31/12/2020
    Application for certification notes for credit rating agencies (CRAs).

  8. Direction: ECD run-off [pdf]

    Handbook Published: 31/12/2020
    Notification following entry into ECD run-off.

  9. Direction: FSMA applications [pdf]

    Handbook Published: 31/12/2020
    Direction stating that firms in the UK’s temporary permissions regime should not submit an application for full authorisation in the UK until told by the FCA to do so.

  10. Direction: no s.272 applications [pdf]

    Handbook Published: 31/12/2020
    Direction stating that fund managers should not submit an application for the full recognition of a fund in the UK’s temporary marketing permission regime under FSMA s.272 until told by the FCA to do so.