SUP 10C.15 1Forms and other documents and how to submit them to the FCA

Purpose

SUP 10C.15.1GRP

The purpose of this section is to:

  1. (1)

    summarise the main forms and other documents used in this chapter; and

  2. (2)

    explain how they should be submitted to the FCA.

Forms and documents

SUP 10C.15.2GRP

The main forms and other documents used in this chapter are listed in SUP 10C.15.3G.

SUP 10C.15.3GRP

Table: FCA approved persons forms and other documents

1Form or other document

Purpose

Handbook requirement

The6 relevant Form A

SUP 10C Annex 3D6

Application to perform designated senior management functions 6

SUP 10C.10.8D

Form B

SUP 10C Annex 4R6

Notice to withdraw an application to perform controlled functions under the approved persons regime

SUP 10C.10.36R

Notice to withdraw an application to vary an approval under the senior managers regime6

SUP 10C.13.15R

Form C

SUP 10C Annex 5R6

Notice of ceasing to perform controlled functions

SUP 10C.14.5R

Form D

SUP 10C Annex 6R6

Notification of changes in personal information or application details or functions

SUP 10C.14.13R

SUP 10C.14.15R

Notification about fitness or of breach of conduct rules

SUP 10C.14.18R

SUP 10C.14.22R

Form E

SUP 10C Annex 7D6

Internal transfer of an approved person

SUP 10C.10.9D

Form I

SUP 10C Annex 8D6

Application to vary a conditional approval 6

SUP 10C.13.6D

Form J

SUP 10C Annex 9D6

Notification of significant change to a statement of responsibilities

SUP 10C.11

Relevant3 statement of responsibilities

2

SUP 10C Annex 10D6

SUP 10C.11

4MiFID Article 4 SMR Information Form

SUP 10C Annex 11D6

SUP 10C.10.9BD6

4Annex III template

https://www.fca.org.uk/publication/forms/mifid-changes-management-body-form.docx

As required by the MiFID authorisation and management body change notification ITS6

SUP 10C.10.9AG and SUP 10C.14.6AG

6

SUP 10C.15.4G

SUP 10C Annex 2G6 gives examples of the circumstances in which the documents in SUP 10C.15.3G should be used.

SUP 10C.15.5GRP

Copies of the forms in SUP 10C.15.3G and of the statement of responsibilities may be obtained from the FCA website. Credit unions can obtain copies from the FCA's Firm Contact Centre.

SUP 10C.15.6GRP

To contact the FCA’s56 Customer Contact Centre for approved persons enquiries:

  1. (1)

    telephone: 0300 500 0597;

  2. (2)

    email: firm.queries@fca.org.uk; or6

  3. (3)

    [deleted]6

  4. (4)

    write to:

    1. Customer Contact Centre

    2. The Financial Conduct Authority

    3. 12 Endeavour Square5

    4. London, E20 1JN.5

How to make applications and give notifications

SUP 10C.15.7DRP
  1. (1)

    A firm other than a credit union must submit a document in column 1 of the table in SUP 10C.15.10R, in accordance with the corresponding requirement in column two of that table.

  2. (2)

    A credit union

    must submit a document in column 1 of the table in SUP 10C.15.10R, in accordance with the corresponding requirement in column three of that table.

  3. (3)

    This direction applies to the forms and other documents listed in the table in SUP 10C.15.10R that are submitted under a direction.

SUP 10C.15.8RRP

SUP 10C.15.7D also applies to the forms and other documents listed in the table in SUP 10C.15.10R that are submitted under a rule.

SUP 10C.15.9GRP

It is up to the credit union concerned to decide which of the methods of submission available to it under SUP 10C.15.10R it is going to use.

SUP 10C.15.10RRP

Table: Method of submission

1Form or other document

Firms that are not credit unions

Credit unions

The relevant Form A

SUP 10C.15.11R

SUP 10C.15.11R or SUP 10C.15.14R

Form B

SUP 10C.15.14R

SUP 10C.15.14R

Form C

SUP 10C.15.11R

SUP 10C.15.11R or SUP 10C.15.14R

Form D

SUP 10C.15.11R

SUP 10C.15.11R or SUP 10C.15.14R

Form E

SUP 10C.15.11R

SUP 10C.15.11R or SUP 10C.15.14R

Form I

SUP 10C.15.11R

SUP 10C.15.11R or SUP 10C.15.14R

Form J

SUP 10C.15.11R

SUP 10C.15.11R or SUP 10C.15.14R

Relevant statement of responsibilities2

In accordance with the requirements for the form with which it is submitted

In accordance with the requirements for the form with which it is submitted

4MiFID Article 4 SMR Information Form

Submit at the same time as Form A and/or E

Not applicable

4Annex II or6 III template

Submit at the same time as Form A, C and/or E

Not applicable

Method of submission: electronic submission

SUP 10C.15.11RRP
  1. (1)

    An application or submission by a firm made under this rule must be made by submitting the form or document online at fca.org.uk using the FCA's and PRA's online notification and application system6.

  2. (2)

    A firm must use the version of the form or document made available on the electronic system referred to in (1). If the form or document is included in an Annex to this chapter, that electronic version is based on the version found in the applicable Annex to this chapter 6(which are listed in SUP 10C.15.3G).

  3. (3)

    If the information technology systems used by the FCA fail and online submission is unavailable for 24 hours or more, SUP 10C.15.14R applies until such time as facilities for online submission are restored.

SUP 10C.15.12GRP

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:

  1. (1)

    online submission is unavailable; and

  2. (2)

    the alternative methods of submission in SUP 10C.15.14R applies.

SUP 10C.15.13G

Where SUP 10C.15.11R(3) applies to a firm, GEN 1.3.2R (Emergency) does not apply.

Method of submission: other forms of submission

SUP 10C.15.14RRP
  1. (1)

    An application or submission by a firm made under this rule must be made in the way set out in SUP 15.7.4R to SUP 15.7.9G (Form and method of notification).

  2. (2)

    If the form or document is included in an Annex to this chapter, a6 firm must use the version of the form or document found in the applicable Annex to this chapter 6(which are listed in SUP 10C.15.3G).