In this act Article 1 of 11

Article 1 — General information

Financial servicesLevel 2RTSMiFID IIIn forceOfficial source

An applicant seeking authorisation as an investment firm in accordance to Title II of Directive 2014/65/EU shall submit to the competent authority an application that includes the following general information:

1(a)

a)its name (including its legal name and any other trading name to be used); legal structure (including information on whether it will be a legal person or, where allowed by national legislation, a natural person), address of the head office and, for existing companies, registered office; contact details; its national identification number, where available; as well as:

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1(a)(i)

i)for domestic branches: information on where the branches will operate;

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1(a)(ii)

ii)for domestic tied agents: details on its intention to use tied agents;

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1(b)

b)the list of investment services and activities, ancillary services and financial instruments to be provided, and whether clients' financial instruments and funds will be held (even on a temporary basis).

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1(c)

c)copies of corporate documents and evidence of registration with the national register of companies, where applicable.

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