MiFID Forms
Forms relevant to MiFID investment firms are listed below.
A completed Individual Questionnaire (IQ) must be submitted in respect of each Pre-Approval Controlled Function (PCF) appointment. See the Fitness and Probity section of the website for further information.
Authorisation
Authorisation Application Form MiFID Investment Firm 2024 | docx 461 KB
MiFID II Application Form Data Reporting Services Providers | docx 304 KB
DLT Pilot Regime for Market Infrastructures Application Form | docx 257 KB
Acquiring Transaction Notification Form for Authorised MiFID Investment Firms & Fund Service Providers | pdf 519 KB
Breach and Incident Reporting
Breach and incident Reporting Form for MiFID Investment Firms | docx 39 KB
Breach and Incident Reporting Form for MiFID Firms – Part 2 | docx 43 KB
Individual Questionnaire
Individual Questionnaire Form for MiFID & FSP | doc 640 KB
Regulation
Notification form Regulation 24 (3) & 12 (a) | docx 343 KB
Revocation
Voluntary Revocation Application Form MiFID Investment Firm 2024 | pdf 449 KB
Guidance Note for MiFID Investment Firm Voluntary Revocation Application 2024 | pdf 556 KB