SUP 15.5 Core information requirements

A firm must give the FCA4 reasonable advance notice of a change in:

1. (1)

   the firm's name (which is the registered name if the firm is a body corporate);

2. (2)

   any business name under which the firm carries on a regulated activity (other than a regulated claims management activity)8 or ancillary activity either from an establishment in the United Kingdom or with or for clients in the United Kingdom; and8

3. (3)

   any business name under which the firm carries on a regulated claims management activity or ancillary activity.8

A firm must give the FCA4 reasonable advance notice of a change in any of the following addresses, and give details of the new address and the date of the change:

1. (1)

   the firm's principal place of business in the United Kingdom;

2. (2)

   in the case of an overseas firm, its registered office (or head office) address.

A firm must give the FCA4 reasonable advance notice of a change in any of the following telephone numbers, and give details of the new telephone number and the date of the change:

1. (1)

   the number of the firm's principal place of business in the United Kingdom;

2. (2)

   in the case of an overseas firm, the number of its head office.3

A firm must notify the FCA4 immediately if it becomes subject to or ceases to be subject to the supervision of any overseas regulator (including a Home State regulator).

1. (1)

   2A firm other than:5

   5
   1. (a)

      a credit union; or5

   2. (b)

      an FCA-authorised person with permission to carry on only credit-related regulated activity;5

   must submit any notice under6 SUP 15.5.1R, SUP 15.5.4Rand10SUP 15.5.5 R3 by submitting the form in SUP 15 Ann 3R online at the FCA's4 website.10

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2. (2)

   A credit union or an FCA-authorised person with permission to carry on only credit-related regulated activity (other than a firm with only an interim permission to which the modifications to SUP 15 in CONC 12 apply)5 must submit any notice under SUP 15.5.1R, SUP 15.5.4R, SUP 15.5.5 R3 and SUP 15.5.7R by submitting the form in SUP 15 Ann 3R using the appropriate online systems accessible through the FCA’s website9.

3. (3)

   Where a firm is obliged to submit a notice online under (1), if the FCA's4 appropriate regulator's10 information technology systems fail and online submission is unavailable for 24 hours or more, until such time as facilities for online submission are restored, a firm must submit any notice under SUP 15.5.1R, SUP 15.5.4R and SUP 15.5.5 R3 in the form in SUP 15 Ann 3R and in the way set out in SUP 15.7.4R to SUP 15.7.9G (Form and method of notification).

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4. (3A)

   Where a firm is obliged to submit a notice online under (2), if the FCA’s information technology systems fail and online submission is unavailable for 24 hours or more, until such time as facilities for online submission are restored, a firm must submit any notice under SUP 15.5.1R, SUP 15.5.4R, SUP 15.5.5R and SUP 15.5.7R in the form in SUP 15 Ann 3R by electronic mail to firm.details@fca.org.uk.9

5. (4)

   10A firm must submit any notice required under SUP 15.5.7 R by submitting the form in SUP 15 Ann 4 in the way set out in SUP 15.7.4 R to SUP 15.7.9 G (Form and method of notification).