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 |
|
the relevant Form A |
Application to perform designated senior management functions under the approved persons regime |
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Form B |
Notice to withdraw an application to perform controlled functions under the approved persons regime |
||
Notice to withdraw an application to vary an approval under the senior management regime for SMF managers |
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Form C |
Notice of ceasing to perform controlled functions |
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Form D |
Notification of changes in personal information or application details or functions |
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Notification about fitness or of breach of conduct rules |
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Form E |
Internal transfer of an approved person |
||
Form I |
Application to vary a conditional approval under the senior management regime for SMF managers |
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Form J |
Notification of significant change to a statement of responsibilities |
||
Relevant3 statement of responsibilities 2 |
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4MiFID Article 4 SMR Information Form |
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4Annex III template |
https://www.fca.org.uk/publication/forms/mifid-changes-management-body-form.docx |
As required by MiFID II ITS |
|
Note: Some of the forms are also used in SUP 10A, which deals with the approved persons regime for firms that are not relevant authorised persons. Therefore: (1) where column three refers to the approved persons regime, that includes the senior management regime for SMF managers in this chapter, as well as the regime in SUP 10A for approved persons in firms that are not relevant authorised persons; (2) where column three refers to approved persons, that includes SMF managers in this chapter as well as other approved persons in SUP 10A |
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SUP 10C Annex 1G 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 Firm Contact Centre.
How to make applications and give notifications
- (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)
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)
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 credit union 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 |
Credit unions |
The relevant Form A |
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Form B |
||
Form C |
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Form D |
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Form E |
||
Form I |
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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 |
4Annex III template |
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 Connect system.
- (2)
A firm must use the version of the form or document made available on the electronic system referred to in (1), which is based on the version found in the applicable Annex to this chapter or to SUP 10A (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)
A firm must use the version of the form or document found in the applicable Annex to this chapter or to SUP 10A (which are listed in SUP 10C.15.3G).