On 28 July 2021, the FCA added the following forms to its webpage on the Investment Firms Prudential Regime:
- Permission under MIFIDPRU 2.5.40R to include a portfolio of a designated investment firm in a consolidated K-CMG requirement
- Permission under MIFIDPRU 2.5.41R to include a portfolio of a third country entity in a consolidated K-CMG requirement
- Permission under MIFIDPRU 4.13.9R to apply K-CMG to a portfolio, instead of K-NPR
- Permission under MIFIDPRU 4.14.6R to exclude transactions with some counterparties from K-TCD requirement
- Permission under MIFIDPRU 3.3.3(1)R to classify an issuance of capital instruments as common equity tier 1 (CET1) capital
The FCA states that it will make the remaining application forms and all notification forms available in the autumn. Firms should refer to chapter 15 of Consultation Paper 21/7 for the details of these forms. In a forthcoming Consultation Paper the FCA will be consulting on three additional forms, which once finalised, will also be made available on Connect later this year.