SUP 10A Annex 4 Form A: Application to perform controlled functions under the approved person regime
This annex consists only of one or more forms. Note that there are separate forms for Solvency II firms, large and small non-directive insurers, incoming EEA firms, applicants for a Part 4A permission or variation of permission that would result in an initial authorisation under MiFID, applicants for a Part 4A permission that would result in the applicant becoming exempt under article 3 of MiFID and other firms. Swiss general insurers must use the forms for large non-directive insurers not the form for Solvency II firms.3 It also includes the scope of responsibilities form which must be included as an attachment to Form A in certain cases.1 An applicant applying for a Part 4A permission or variation of permission that would result in an initial authorisation under MiFID or in the applicant becoming exempt under article 3 of MiFID is only required to use the “Long Form A – UK and Overseas Firms (not Incoming EEA) for MiFID authorisation applications” in relation to members of the management body or persons effectively directing its business.
[Editor's Note: General notes for completion of Form A are located below the list of forms.]
Form A: Notes for completion (March 2016)
Long Form A - UK and Overseas Firms (not Incoming EEA)
Long Form A – UK and Overseas Firms (not Incoming EEA) for MIFID authorisation applications:
Long Form A – UK and Overseas Firms (not Incoming EEA) for MIFID authorisation applications
Long Form A for Solvency II firms (excluding incoming EEA firms and large non-directive insurers)2:
Long Form A - Solvency II firms only4
Short Form A for Solvency II firms (excluding incoming EEA firms and large non-directive insurers)2:
Short Form A - Solvency II firms only4
Short Form A: UK and Overseas Firms (not incoming EEA) (March 2016)
Short Form A: Incoming EEA firms (March 2016)
Long Form A for large non-directive insurers:2
Long Form A - large non-directive insurers4
Short Form A for large non-directive insurers:2
Short Form A - large non-directive insurers4
Long Form A for small non-directive insurers:2
Long Form A - small non-directive insurers
Short Form A for small non-directive insurers:2
Short Form A - small non-directive insurers2
Scope of responsibilities form for Solvency II firms2:
Solvency II Firms: Scope of responsibilities2
Scope of responsibilities form for large non-directive insurers:2
Scope of responsibilities form - large non-directive insurers2
Scope of responsibilities form for small non-directive insurers:2
Scope of responsibilities form - small non-directive insurers2
Long Form A - Incoming EEA only
Long Form A - UK Firms (Relevant Authorised Persons only)
Long Form A: UK firms (March 2016)
Long Form A for firms which are not Solvency II firms (including large non-directive insurers) or small non-directive insurers2
(and are not incoming EEA firms or2
Relevant Authorised persons)1
Short Form A for firms which are not Solvency II firms (including large non-directive insurers) or small non-directive insurers2 (and are not incoming EEA firms or2
Relevant Authorised persons)1
Long Form A for incoming EEA firms2
Short Form A for incoming EEA firms2
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