FCA MiFID Authorisation and Variation Permission Forms / Comments by 22 November
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November 15, 2016
TO: ICI Global Regulated Funds CommitteeICI Global Trading & Markets Committee RE: FCA MiFID Authorisation and Variation Permission Forms - Comments by 22 November
The UK Financial Conduct Authority (FCA) is in the process of revising the authorization and permission forms in connection with MiFID II and is seeking feedback on the forms by 22 November. Attached are two relevant documents, both prepared by the FCA: (1) an illustration showing how the forms hang together for a firm seeking to be authorised as an investment firm under MiFID II, followed by a table that embeds the forms themselves, and (2) a slide deck recently used by the FCA in a roundtable presentation on the proposed authorisation forms.
Comments can be sent to directly to Stephen Hanks, Markets Policy, FCA, by email at Stephen.hanks@fca.org.uk, or to me at emykolenko@ici.org or (202)326-5837.
The FCA has stated that they are still finalising plans for opening the authorisation gateway and will communicate with industry once those plans have been finalised.
Eva M. Mykolenko
Associate Chief Counsel - Securities Regulation