SUP 10C.15 1Forms and other documents and how to submit them to the FCA
Purpose
Forms and documents
The main forms and other documents used in this chapter are listed in SUP 10C.15.3G.
Table: FCA approved persons forms and other documents
1Form or other document |
Purpose |
Handbook requirement |
|
The6 relevant Form A |
Application to perform designated senior management functions 6 |
||
Form B |
Notice to withdraw an application to perform controlled functions under the senior managers8 regime |
||
Notice to withdraw an application to vary an approval under the senior managers regime6 |
|||
Form C |
Notice of ceasing to perform controlled functions |
||
Form D |
Notification of changes in personal information or application details or functions |
||
Notification about fitness or of breach of conduct rules |
|||
Form E |
Internal transfer of an approved person |
||
Form I |
Application to vary a conditional approval 6 |
||
Form J |
Notification of significant change to a statement of responsibilities |
||
Relevant3 statement of responsibilities 2 |
|||
4MiFID Article 4 SMR Information Form |
|||
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 |
|
[Note: Some of these forms are also used for the purposes of SUP 10A (FCA Approved Persons in Appointed Representatives)]86 |
|||
SUP 10C Annex 2G6 gives examples of the circumstances in which the documents in SUP 10C.15.3G should be used.
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 Supervision Hub9.
How to make applications and give notifications
- (1)
A firm other than firm in (2)7 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)
A:7
- (a)
7credit union; or
- (b)
7a firm whose Part 4A permission covers only credit-related regulated activities;
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.
- (a)
- (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.15.7D also applies to the forms and other documents listed in the table in SUP 10C.15.10R that are submitted under a rule.
It is up to the firm referred to in SUP 10C.15.7D(2)7 concerned to decide which of the methods of submission available to it under SUP 10C.15.10R it is going to use.
Table: Method of submission
1Form or other document |
Firms that are not credit unions or consumer credit firms (SUP 10C.15.7D(1))7 |
Credit unions and consumer credit firms (SUP 10C.15.7D(2))7 |
The relevant Form A |
||
Form B |
||
Form C |
||
Form D |
||
Form E |
||
Form I |
||
Form J |
||
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 |
Submit at the same time as Form A, C and/or E |
Not applicable |
Method of submission: electronic submission
- (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)
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)
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.
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)
online submission is unavailable; and
- (2)
the alternative methods of submission in SUP 10C.15.14R applies.
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
- (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)
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).