Authorisations

Editor's Note: Please note that the content of this page and any document herein is copyright protected by the Financial Regulator.  We have placed this information on www.mifid.ie because it is often difficult to find the exact location of this material on the Financial Regulator’s website.  We endeavour to keep this page a mirror copy of the Financial Regulator’s material but you are warned that this may not always be the case and therefore you should visit www.financialregulator.ie on a regular basis to view first-hand its material.    As at 20th July 2008 there are eight (8) MiFID pages on the Financial Regulator's website: (1) Introduction page; (2) Implementation page; (3) Transaction Reporting page; (4) Pre and Post Trade Transparency; (5) Conduct of Business page; (6) Organisational Requirements page; (7) Authorisations page; and (8) CESR Documentation.   This is a copy of the Financial Regulator's MiFID Introduction page.  The links appearing below on this page will take you to the relevant page at www.financialregulator.ie.   APPLICATION FOR AUTHORISATION under Regulation 11 of the European Communities (Markets in Financial Instruments) Regulations 2007 •  Click here to download MiFID Application Form.doc (988.50 KB DOC)                Guidance Note on Completing and Submitting an Application for Authorisation under MiFID Guidance Note on the Completing and Submitting an Application for Authorisation under The European Communities (Markets in Financial Instruments) Regulations 2007 and Commission Regulation (EC) No 1287/2006 of 10 August 2007 •  Click here to download MiFID Guidance Note.doc (11.00 MB DOC)                                                                                                                                                              Notification Forms in respect of the provision of services and activities and the establishment of a branch in other Member States under MiFID Below are the notification forms pursuant to Articles 31 (Freedom to provide investment services and activities) and 32 (Establishment of a branch) of the Markets in Financial Instruments Directive (2004/39/EC).          Notification form in respect of the provision of services and activities in other Member States under Article 31 of MiFID (2004/39/EC) •  Click here to download Notification Form - Freedom of Services.doc (80.00 KB DOC)                                                                                                                                                     Notification form in respect of the establishment of a branch in other Member States under Article 32 of the MiFID (2004/39/EC) •  Click here to download Notification Form - Establishment of Branch .doc (88.00 KB DOC)                                                                                                                                              Mapping of MiFID Financial Instruments, Services and Activities to IIA and SEA Authorised Firms. Documents below.                                                                                                               Letter from the Financial Regulator to IIA Authorised Firms 30 July 2007 Follow up letter to the letter of March 2007 regarding the status of firm's authorisation and passport permissions under Regulations from 1 November 2007. •  Letter sent out to IIA Authorised Firms 30 July 2007 (45.50 KB DOC)                                                                                                                                                        Letter from Financial Regulator to IIA Authorised Firms Letter sent out in March 2007 to IIA Authorised Firms on the Markets in Financial Instruments Directive ('MiFID') with attachments setting out schedules that map the services, activities and instruments currrently applying under the IIA and ISD to the position on 1 November 2007 under MiFID and the Regulations.  •  Letter sent out to IIA Authorised Firms March 2007 (45.50 KB DOC)                                                                                                                                                      Mapping of MiFID Financial Instruments - IIA Authorised Firms •  Mapping of MiFID Financial Instruments - IIA Authorised Firms (63.00 KB DOC)                                                                                                                                                  Mapping of MiFiD Services and Activities - IIA Authorised Firms •  Mapping of MiFID Services and Activities - IIA Authorised Firms (51.00 KB DOC)                                                                                                                                                 Letter from the Financial Regulator to SEA Authorised Firms Letter sent out to SEA authorised firms on the Markets in Financial Instruments Directive ('MiFID') with attachments setting out schedules that map the services, activities and instruments currently applying under the SEA and ISD to the position on 1 November 2007 under the MiFID and the Regulations. •  Letter sent out to SEA Authorised Firms March 2007 (45.50 KB DOC)                                                                                                                                                        Mapping of MiFID Services and Activities - SEA Authorised Firms •  Mapping of MiFID Services and Activities - SEA Authorised Firms (49.50 KB DOC)                                                                                                                                             Mapping of MiFID Financial Instruments - SEA Authorised Firms •  Mapping of MiFID Financial Instruments - SEA Authorised Firms (61.50 KB DOC)