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Version status: In force | Document consolidation status: Assimilated law updated to reflect all known changes
Version date: 31 December 2020 - onwards
Version 2 of 2

Article 1 Information necessary for the registration

A third-country firm applying for the provision of investment services or performance of activities in the United Kingdom in accordance with the second subparagraph of Article 46(4) of Regulation (EU) No 600/2014 shall submit the following information to the Financial Conduct Authority:

(a) full name of the firm, including its legal name and any other trading name to be used by the firm;

(b) contact details of the firm, including the head office address, telephone number and email address;

(c) contact details of the person in charge of the application, including telephone number and email address;

(d) website, where available;

(e) national identification number of the firm, where available;

(f) legal entity identifier (LEI) of the firm, where available;

(g) Business Identifier Code (BIC) of the firm, where available;

(h) name and address of the competent authority of the third country that is responsible for the supervision of the firm; where more than one authority is responsible for supervision, the details of the respective areas of competence shall be provided;

(i) the link to the register of each competent authority of the third country, where available;

(j) information on which investment services, activities, and ancillary services it is authorised to provide in the country where the firm is established;