Showing 1 to 10 of 637 search results.

1. Market Data Processor (MDP) disconnection form [docx]

   Forms Published: 25/01/2021
   All applicants are required to provide details to disconnect from the MDP for some or all of the market data types for which they have previously been activated

2. Instructions for Defined Benefit Advice Assessment Tool (DBAAT) [pdf]

   Forms Published: 15/01/2021
   Instruction guide to help understand how to use the DBAAT or interpret the results from an FCA file review

3. Defined Benefit Advice Assessment tool (DBAAT) [xlsx]

   Forms Published: 15/01/2021
   The DBAAT helps firms and pension transfer specialists understand our file review methodology for DB transfer advice

4. Notification form: EEA ECD firms [pdf]

   Forms Published: 31/12/2020
   This form allows EEA ECD firms to notify us that your firm is using the ECD run-off regime.

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

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

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

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

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

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

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

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

9. 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.

10. 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.