Firms Online

 

As a consequence of the changes to our processes required by MiFID, from 27 October 2007 the following regulatory transactions forms will no longer be available through Firms Online:

  • Approved Persons Forms A;
  • Approved Persons Form D2;
  • Approved Persons Form E;
  • Waivers; and
  • Variations of Permission.

We have taken the decision to 'switch off' these forms and revert to manual submission reluctantly. Firms Online Regulatory Transactions will be replaced with a new online form submission system, due to be rolled out in 2008. As such, it does not make sense to make the significant changes to the above Firms Online Regulatory Transactions, in order to meet the requirements of MiFID.

How will this impact your firm?

Apart from no longer being able to create and submit the above form types, any 'In draft' applications saved on the system will no longer be available for you to complete and submit. In addition, you will not be able to review historic submitted forms of the above types, via the 'Print submitted form' option from the main menu.

How should I apply for the above transactions after 27 October 2007?

Please download and submit a paper form from here.

Will my application take any longer to process?

We do not expect to take any longer to process applications than we do now, and we are determined to meet our published service standards in this respect. The majority of applications we receive at present are completed and submitted manually.

Any questions?

Please direct any questions to your normal supervisory contact, or the or the Firm Contact Centre.