Reset to Today

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004.

Content Options:

Add to favourites

View Options:

More Resources:

External link Handbook Publications

Alternative versions

  3. Point in time
    2014-08-27

RCB 2.2 Applying for registration

Form, manner and verification of application

RCB 2.2.1DRP

The issuer must apply for registration using the form at RCB 2 Annex 1D (application for registration).

RCB 2.2.2GRP

RCB 3.6.5 D sets out the methods the issuer may use to send the form to the FCA.

RCB 2.2.3DRP

Until the application has been determined by the FCA, the issuer must inform the FCA of any significant change to the information given in the application immediately it becomes aware of that change.

RCB 2.2.4GRP

The form and content of the application documentation is a matter for direction by the FCA, which will determine what additional information and documentation may be required on a case-by-case basis.

RCB 2.2.5GRP

The FCA will not treat the application as having been received until it receives the registration fee (see RCB 5.2.5 R) and all relevant documentation requested by the FCA before its on-site review of the application.1

RCB 2.2.6DRP

The issuer must ensure that a director or a1 senior manager of the issuer verifies the application by confirming on the FCA's form that the issuer has obtained the appropriate third party advice or reports as required by RCB 2.3.16 D and is satisfied that:

  1. (1)

    the information provided in the application is correct and complete; and

  2. (2)

    the arrangements relating to the covered bond or programme will comply with the requirements in the RCB Regulations and in RCB.

RCB 2.2.7GRP

The FCA expects the issuer to be able to justify any reliance it places on advice or reports which are not reasonably contemporaneous with the confirmation the senior manager gives in relation to compliance with the requirements of the RCB Regulations and RCB.

RCB 2.2.8DRP

The issuer must ensure that the senior manager, who verifies the application for registration under this section, gives their consent to the FCA displaying their confirmation of compliance with the relevant requirements on the FCA's website.