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SUP 10A.16 How to apply for approval and give notifications

SUP 10A.16.1DRP
  1. (1)

    This direction applies to an application under Form A or Form E.

  2. (2)

    An5 application by a firm 4must be made by submitting the Form online at fca.org.uk using the form specified on the FCA's and PRA's online notification and application system3.

    1122
  3. (2A)

    [deleted]5

    1
  4. (3)

    [deleted]4

  5. (4)

    Where a firm is obliged to submit an application online under (2), if the information technology systems used by the FCA fail and online submission is unavailable for 24 hours or more, until such time as facilities for online submission are restored a firm must use the form in SUP 10A Annex 4D or SUP 10A Annex 8D and submit it in the way set out in SUP 15.7.4 R to SUP 15.7.9 G (Form and method of notification).

  6. (5)

    An application by a firm in relation to a controlled function to which SUP 10A.1.16BR (appointed representative of an SMCR firm) applies must be made in accordance with SUP 10C.15 (Forms and other documents and how to submit them to the FCA) and not this section.4

SUP 10A.16.2RRP
  1. (1)

    This rule applies to a notification under Form C or Form D.

  2. (2)

    A notification must be made in accordance with SUP 10A.16.1 D, except that the annexes in which the forms are to be found are SUP 10C Annex 5R or SUP 10C Annex 6R4, rather than the Annexes mentioned in SUP 10A.16.1 D.

  3. (3)

    A notification by a firm in relation to a controlled function to which SUP 10A.1.16BR (appointed representative of an SMCR firm) applies must be made in accordance with SUP 10C.15 (Forms and other documents and how to submit them to the FCA) and not this section.4

SUP 10A.16.2AR

4SUP 10A.16.2R(3) also applies to Form B in relation to a controlled function to which SUP 10A.1.16BR (appointed representative of an SMCR firm) applies.

SUP 10A.16.3GRP

If the information technology systems used by the FCA fail and online submission is unavailable for 24 hours or more, the FCA and PRA will endeavour to publish a notice on their websites confirming that online submission is unavailable and that the alternative methods of submission set out in SUP 10A.16.1D (4) and SUP 15.7.4 R to SUP 15.7.9 G (Form and method of notification) should be used.

SUP 10A.16.4G

Where SUP 10A.16.1D (4) or the equivalent situation under SUP 10A.16.2 R applies to a firm, GEN 1.3.2 R (Emergency) does not apply.