Forms

Authorisation

Application form for authorisation as an investment firm - 26.07.2018

List of members of the management body - 11.10.2018

Application for approval as central administration of a UCI - 10.04.2017

Application for administrative authorisation for UCI depositary activity - 27.09.2017 (only in French)

Application in case of outsourcing of administration tasks for UCI - 10.04.2017

Application in case of outsourcing of UCI depositary tasks - 13.07.2017

Application to extend the investment firm authorisation to the status of mortgage credit intermediary - 12.02.2018 (only in French)

  

Notification of changes to the membership of the management body

Notification of information on changes to the membership of the management body - 26.07.2018

 

Declarations of honour

Declaration of honour for legal persons - 11.04.2016 

Declaration of honour for natural persons - 11.04.2016

 

Forms for the free provision of services/branch establishment ("European passport")

Form for the investment services and activities passport notification and the change of investment services and activities particulars notification - 08.06.2018

Form for the branch passport notification and change of branch particulars notification - 08.06.2018

Form for the tied agent passport notification and change of tied agent particulars notification - 08.06.2018

Form for the termination of the operation of a branch or the cessation of the use of a tied agent established in another Member State - 08.06.2018

Form for the notification for the provision of arrangements to facilitate access to an MTF or OTF - 08.06.2018

 

 

Approval of key function holders in accordance with Circular CSSF 12/552

Prudential approval procedure of key function holders in investment firms - 15.02.2018 (only in French)

 

Claims registered by the professional pursuant to CSSF Regulation N° 16-07

Table listing the claims registered by the professional - 13.10.2017 (only in French)

 

Higher ratio notification procedure applicable to remuneration policy according to Article 94(1)(g)(ii) of Directive 2013/36/EU (“CRD IV”) following its transposition into Luxembourg law via Article 19(7°)(g) of the Law of 23 July 2015 (the “Law”)

Notification form - Higher ratio procedure - 21.10.2015

 

Annex to the circular letter of 5 August 2016 on the declaration of membership of the "Système d'Indemnisation des Investisseurs Luxembourg (SIIL)"

Declaration of membership of the "Système d'Indemnisation des Investisseurs Luxembourg (SIIL)"