SUP 10.11 Procedures relating to approved persons
Forms
The forms listed in SUP 10.11.2 G are referred to in SUP 10.11 (Procedures relating to approved persons) to SUP 10.14 (Further questions).
Approved persons forms
the relevant 2Form A |
SUP 10 Ann 4D |
Application to perform controlled functions under the approved persons regime |
Form B |
SUP 10 Ann 5R |
Notice to withdraw an application to perform controlled functions under the approved persons regime |
Form C |
SUP 10 Ann 6R |
Notice of ceasing to perform controlled functions |
Form D |
SUP 10 Ann 7R |
Notification of changes in personal information or application details |
Form E |
SUP 10 Ann 8G |
Internal transfer of an approved person |
A summary of the forms and their purposes is in SUP 10 Annex 2 G. A summary of FSA procedures is in SUP 10 Annex 3. For the method of notification to the FSA, see SUP 15.7 (Form and method of notification).
Unless the context otherwise requires, in SUP 10.11 (Procedures relating to approved persons) to SUP 10.14 (Further questions) where reference is made to a firm, this also includes an applicant for Part IV permission, and other persons seeking to carry on regulated activities as an authorised person.
Forms B, C, D and E can only be submitted in respect of an approved person by the firm that submitted an approved person's original application (that is, the relevant 2Form A).