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15th March 2017

Reminder: Deadline for using Draft MiFID II Application Forms

This week the FCA have reminded firms that new application forms in relation to MiFID II, including Article 3 exemption, were issued earlier this year on 30th January 2017. Firms are reminded that any applications they have started to complete within the FCA Connect system using the previous ‘Draft’ version of the forms will continue to be accepted by the regulator, but only up until 31st March 2017.

From 1st April 2017, Firms will need to use the new forms available within Connect to make any notifications or applications with regards to MiFID II.

The Regulator would also like to encourage firms that have started draft applications within Connect using the previous draft versions to consider whether it might be appropriate to switch to the finalised form versions that were issued on 30th January.

Notes to this effect have been updated by the regulator on the FCA’s Connect system information page.

>> 31 March 2017: Deadline for using & submitting ‘Draft’ MiFID II Application forms in Connect <<

MiFID II Applications: Draft vs Final Forms