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
Form3 |
Purpose3 |
Handbook requirement3 |
|
the relevant Form A |
The relevant online form on the FSA's ONA system or the form in SUP 10 Annex 4D (See Note)3 |
Application to perform controlled functions under the approved persons regime |
|
Form B |
Notice to withdraw an application to perform controlled functions under the approved persons regime |
||
Form C |
Notice of ceasing to perform controlled functions |
||
Form D |
Notification of changes in personal information or application details |
||
Form E |
The relevant online form on the FSA's ONA system or the form in SUP 10 Annex 8D (See Note)3 |
Internal transfer of an approved person |
|
Note: The form in the SUP annex shown is to be used by credit unions, and by other firms only in the event of a failure of the FSA's information technology systems. See the relevant "Handbook requirement".3 |
|||
A summary of the forms and their purposes is in SUP 10 Annex 2 G.
3Unless 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).
Copies of Forms A, B, C, D and E may be obtained from the FSA website.3 Credit unions can obtain copies3 from the Individuals, Mutuals and Policy Department2by email at iva@fsa.gov.uk or from the FSA's Firm Contact Centre.3 To contact the Individuals, Mutuals and Policy 2 Department1 for general enquiries:
11