REC 3.2 Form and method of notification
Form of notification
Where a recognised body is required to give any notice or information under any notification rule, it may do so (unless that rule expressly provides otherwise) orally or in writing, whichever is the more appropriate in the circumstances, but, where it gives notice or information orally, it must confirm that notice or information in writing promptly.
Method of notification
Unless otherwise stated in the notification rule, a written notification required from a recognised body under any notification rule must be:
- (1)
given to, or addressed for the attention of, the recognised body's usual supervisory contact at the FSA;
- (2)
delivered to the FSA by one of the methods in REC 3.2.3 R.
Methods of notification
Method of delivery |
|
(1) |
Post to the address in REC 3.2.4 R |
(2) |
Leaving the notification at the address in REC 3.2.4 R and obtaining a time-stamped receipt |
(3) |
Electronic mail to an address for the recognised body's usual supervisory contact at the FSA and obtaining an electronic confirmation of receipt |
(4) |
Hand delivery to the recognised body's usual supervisory contact at the FSA |
(5) |
Fax to a fax number for the recognised body's usual supervisory contact at the FSA, provided that the FSA receives a copy of the notification by one of methods (1) - (4) in this table within five business days after the date of the faxed notification |
Timely notification
If a notification rule requires notification within a specified period:
- (1)
the recognised body must give the notification so as to be received by the FSA no later than the end of that period; and
- (2)
if the end of that period falls on a day which is not a business day, the notification must be given so as to be received by the FSA no later than the first business day after the end of that period.
Service of Notice Regulations
The Financial Services and Markets Act 2000 (Service of Notices) Regulations 2001 (SI 2001/1420) contain provisions relating to the service of documents on the FSA. They do not apply to notifications required under the notification rules in this chapter and in REC 6 because of the specific rules in this section.