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  1. Self-certification form [docx]

    Forms Published: 03/08/2020
    Use this form to ensure that management in your organisation comply with the relevant regulatory rules and guidelines.
  2. EMIR Breach Notification form [docx]

    Forms Published: 17/07/2020
    EMIR Breach Notification form
  3. Modification by consent of SUP 10A.5.6R direction [pdf]

    Forms Published: 09/07/2020
    Modification by consent of SUP 10A.5.6R direction
  4. Securities Financing Transactions Regulation (SFTR) notes [docx]

    Forms Published: 24/06/2020
    Securities Financing Transactions Regulation (SFTR) notes
  5. Securities Financing Transactions Regulation (SFTR) registration form [docx]

    Forms Published: 24/06/2020
    Securities Financing Transactions Regulation (SFTR) registration form
  6. Securities Financing Transactions Regulation (SFTR) registration conversion form [docx]

    Forms Published: 24/06/2020
    Securities Financing Transactions Regulation (SFTR) registration conversion form
  7. Notification form for changes to the membership body of the management body [doc]

    Forms Published: 24/06/2020
    Notification form for changes to the membership body of the management body
  8. Variation of EMD Authorisation / Registration [docx]

    Forms Published: 05/06/2020
    Variation of EMD Authorisation / Registration
  9. MiFID Annex Form [docx]

    Forms Published: 29/05/2020 Last modified: 29/05/2020
    Application for Authorisation.
  10. Application for Authorisation: Full consumer credit firm notes [pdf]

    Forms Published: 20/05/2020
    Application for Authorisation: Full consumer credit firm notes