Reference number:

Date:

FROM:

Name of the applicant:

Address:

(Contact details of the designated contact person)

Name:

Telephone:

Email:

TO:

Member State:

Competent Authority:

Address:

(Contact details of the designated contact point)

Address:

Telephone:

Email:

Dear [insert appropriate name]

In accordance with Article 2 of the Commission Implementing Regulation (EU) 2017/1945 laying down implementing technical standards with regard to standard forms, templates and procedures for notification or provision of information provided for in Article 7(5) of Directive 2014/65/EU to ensure uniform conditions of application of Article 7(2) of that Directive, kindly find attached the authorisation application.

— Person in charge of preparing the application:

Name:

Status/position:

Telephone:

Fax (if available):

Email:

— Nature of the application (tick the relevant box):

Authorisation

Change to the authorisation already obtained

CONTENT

General information on the applicant firm

[please insert the information referred to under Article 1 of Commission Delegated Regulation (EU) 2017/1943 of the European Parliament and of the Council of 14 July 2016 supplementing Directive 2014/65/EU with regard to regulatory technical standards on information and requirements for the authorisation of investment firms. Please set out that information here or make reference to the relevant annexes containing the information]

Information on the capital

[please insert the information referred to under Article 2 of Delegated Regulation (EU) 2017/1943. Please set out that information here or make reference to the relevant annexes containing the information]

Information on the shareholders

[please insert the information referred to under Article 3 of Delegated Regulation (EU) 2017/1943. Please set out that information here or make reference to the relevant annexes containing the information]

Information on the management body and persons directing the business

[please insert the information referred to under Article 4 of Delegated Regulation (EU) 2017/1943. Please set out that information here or make reference to the relevant annexes containing the information]

Financial information

[please insert the information referred to under Article 5 of Delegated Regulation (EU) 2017/1943. Please set out that information here or make reference to the relevant annexes containing the information]

Information on the organisation

[please insert the information referred to under Article 6 of Delegated Regulation (EU) 2017/1943. Please set out that information here or make reference to the relevant annexes containing the information]

Reference number:

Date:

FROM:

Name of the applicant:

Address:

(Contact details of the designated contact person)

Name:

Telephone:

Email:

TO:

Competent Authority:

Address:

(Contact details of the designated contact point if relevant)

Address:

Telephone:

Email:

Dear [insert appropriate name]

In accordance with Article 2 of Commission Implementing Regulation (EU) 2017/1945 of 19 June 2017 laying down implementing technical standards with regard to standard forms, templates and procedures for notification or provision of information provided for in Article 7(5) of Directive 2014/65/EU to ensure uniform conditions of application of Article 9(5) of that Directive, kindly find attached the notification request.

— Person in charge of preparing the application:

Name:

Status/position:

Telephone:

Fax (if available):

Email:

Date:

Signature:

List of members of the management body

Member 1

Name

Contact details (Telephone, email, address)

Position

Professional experience and other relevant experience

Educational qualification and relevant training

List of executive and non-executive directorships in other entities

Effective date

[Please set out that information here or provide an explanation of how it will be provided, or make reference to the relevant annexes containing the information]

Member n

Name

Contact details (Telephone, email, address)

Position

Professional experience and other relevant experience

Educational qualification and relevant training

List of executive and non-executive directorships in other entities

Effective date

[Please set out that information here or provide an explanation of how it will be provided, or make reference to the relevant annexes containing the information]

Please provide:

— Minutes of the general meeting acting the nomination of the new member of the management body

— Minutes of the general meeting of the management body acting the nomination of the new members.

Reference number:

Date:

FROM:

Name of the applicant:

Address:

(Contact details of the designated contact person)

Name:

Telephone:

Email:

TO:

Competent Authority:

Address:

(Contact details of the designated contact point if relevant)

Address:

Telephone:

Email:

Dear [insert appropriate name]

In accordance with Article 4 of the Commission Implementing Regulation (EU) 2017/1945 of 19 June 2017 laying down implementing technical standards with regard to standard forms, templates and procedures for notification or provision of information provided for in Article 7(5) of Directive 2014/65/EU to ensure uniform conditions of application of Article 9(5) of that Directive, kindly find attached the notification request.

— Person in charge of preparing the application:

Name:

Status/position:

Telephone:

Fax (if available):

Email:

Information on member(s) leaving the management body

Member 1

Name

Contact details (Telephone, email, address)

Position

Effective date of departure from management body

Reasons for the departure from management body

Member 2

Name

Contact details (Telephone, email, address)

Position

Effective date of departure from management body

Reasons for the departure from management body

Member n

Name

Contact details (Telephone, email, address)

Position

Effective date of departure from management body

Reasons for the departure from management body

Information on new member(s) of the management body

Member 1

Name

Contact details (Telephone, email, address)

Position

Professional experience and other relevant experience

Educational qualification and relevant training

List of executive and non-executive directorships in other entities

Effective date

[Please set out that information here or provide an explanation of how it will be provided, or make reference to the relevant annexes containing the information]

Member n

Name

Contact details (Telephone, email, address)

Position

Professional experience and other relevant experience

Educational qualification and relevant training

List of executive and non-executive directorships in other entities

Effective date

[Please set out that information here or provide an explanation of how it will be provided, or make reference to the relevant annexes containing the information]

Complete updated list of members of the management body

Please provide:

— Minutes of the general meeting acting the nomination of the new member of the management body.

— Minutes of the general meeting of the management body acting the nomination of the new member.

Name

Position

Effective date