Related provisions for SUP 15.4.3A

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SUP 12.7.1ARRP
(1) 8A firm other than a credit union must submit the form in SUP 12 Annex 3 R onlineat http://www.fca.org.uk using the FCA's ONAsystem.(2) A credit union must submit the form in SUP 12 Annex 3 R in the way set out in SUP 15.7.4 R to SUP 15.7.9 G (Form and method of notification).(3) Where a firm is obliged to submit an application online under (1), if the FCA's information technology systems fail and online submission is unavailable for 24 hours or more, until such time as facilities
SUP 12.7.8ARRP
(1) 8A firm other than a credit union must submit the form as set out in SUP 12 Annex 4 R online at http://www.fca.org.uk using the FCA's ONAsystem.(2) A credit union must submit the form in SUP 12 Annex 4 R in the way set out in SUP 15.7.4 R to SUP 15.7.9 G (Form and method of notification).(3) Where a firm is obliged to submit an application online under (1), if the FCA's information technology systems fail and online submission is unavailable for 24 hours or more, until such
SUP 12.7.10GRP
8If the FCA's information technology systems fail and online submission is unavailable for 24 hours or more, the FCA will endeavour to publish a notice on its website confirming that online submission is unavailable and that firms, other than credit unions, should use the alternative methods of submission set out in SUP 12.7.1AR (3) and SUP 12.7.8AR (3) (as appropriate), and SUP 15.7.4 R to SUP 15.7.9 G, addressingclearly marking applications for the attention of the Individuals
SUP 15.5.9RRP
(1) 2A firm other than a credit union must submit any notice underSUP 15.5.1R, SUP 15.5.4Rand10SUP 15.5.5 R3 by submitting the form in SUP 15 Ann 3R online at the appropriate regulator's website.101010(2) A credit union 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 in the way set out in SUP 15.7.4R to SUP 15.7.9G (Form and method of notification).(3) Where a firm is obliged to submit a notice online
SUP 15.5.10GRP
(1) If the appropriate regulator's10 information technology systems fail and online submission is unavailable for 24 hours or more, the appropriate regulator10 will endeavour to publish a notice on its website confirming that online submission is unavailable and that the alternative methods of submission set out in SUP 15.5.9R(3) and SUP 15.7.4R to SUP 15.7.9G (Form and method of notification) should be used.1010(2) Where 10SUP 15.5.9R (2)10 applies to a firm, GEN 1.3.2 R (Emergency)
SUP 12.8.1ARRP
(1) 4A firm other than a credit union must submit any notification under SUP 12.8.1 R (1) in the form set out in SUP 12 Annex 5 R, online at www.fsa.gov.uk using the FCA's ONAsystem.(2) A credit union must submit any notification under SUP 12.8.1 R (1) in the form set out in SUP 12 Annex 5 R and in the way set out in SUP 15.7.4 R to SUP 15.7.9 G (Form and method of notification).(3) Where a firm is obliged to submit a notification online under (1), if the FCA's information technology
SUP 12.8.1BGRP
4If the FCA's information technology systems fail and online submission is unavailable for 24 hours or more, the FCA will endeavour to publish a notice on its website confirming that online submission is unavailable and that the alternative methods of submission set out in SUP 12.8.1AR(3) and SUP 15.7.4 R to SUP 15.7.9 G (Form and method of notification) should be used.
SUP 6.3.15DRP
(1) A firm other than a credit union wishing to make an application under SUP 6 must apply online using the form specified on the ONA system.1414272727(2) [deleted]271427(3) Until the application has been determined, a firm which submits an application must inform the relevant regulator27 of any significant change to the information given in the application immediately it becomes aware of the change.27(3A) Where an application requires the consent of the FCA, a firm which submits
SUP 15.4.3GRP
(1) A firm other than a credit union must submit the form in SUP 15 Ann 2 R online 8 using the appropriate regulator's8 ONAsystem.288(2) A credit union must submit the form in SUP 15 Ann 2 R in the way set out in SUP 15.7.4 R to SUP 15.7.9 G (Form and method of notification).2(3) Where a firm is obliged to submit an application online under (1), if the appropriate regulator's8information technology systems fail and online submission is unavailable for 24 hours or more, until such
SUP 16.10.4ARRP
(1) 5A firm other than a credit union must submit any corrected standing data under SUP 16.10.4R (3) online at the appropriate regulator's website20 using the ONAsystem.2020(2) A credit union must submit any corrected standing data under SUP 16.10.4R (3) to static.data@fca.org.uk or via post or hand delivery to the FCA marked for the attention of the 'Static Data team'20.2020(3) Where a firm is obliged to submit corrected standing data online under (1), if the FCA's20 information
SUP 16.10.5GRP
The standing data is made available to the firm when the firm logs into the appropriate section of the appropriate regulator's20 website. The firm should check the standing data and send any corrections to the appropriate regulator20. The appropriate regulator's20 preferred method of receiving corrections to standing data is by the online forms available at the appropriate regulator's20 website.220202020
SUP 16.3.9RRP

Method of submission of reports (see SUP 16.3.8 R)

228

Method of delivery

1.

Post to the published address of the FCA49 for postal submission of reports

49

2.

Leaving the report marked for the attention of "Central Reporting"22 at the published address of the FCA49 for hand delivery of reports and obtaining a dated receipt

49

3.

Electronic mail or fax to the published e-mail address or fax number of the FCA's49 Central Reporting team.22

2249

4.22

Online submission via the appropriate systems accessible from the22appropriate regulator's49 website

49822
SUP 6.4.5DRP
(1) A firm other than a credit union wishing to cancel its Part 4A permission, must apply online at the appropriate regulator website using the form specified on the ONA system.9924(2) [deleted]24924(3) [deleted]2(4) Until the application has been determined, a firm which submits an application for cancellation of Part 4A permission24 must inform the relevant regulator24 of any significant change to the information given in the application immediately it becomes aware of the
SUP 12.9.5RRP
2If a UK MiFID investment firm appoints an EEA tied agent this section applies to that firm as though the EEA tied agent were an appointed representative.
SUP 16.11.10GRP
A data report will have been provided to the FCA17 in accordance with SUP 16.11.9 R only if all mandatory data reporting fields (as set out in SUP 16 Annex 21R) have been completed correctly and the report has been accepted by the relevant FCA17 reporting system.1717
SUP 16.6.4RRP
A bank must submit compliance reports to the appropriate regulator13 in accordance with SUP 16.6.5 R.413
SUP 10A.12.2GRP

Table: FCA-approved persons forms

Form

Purpose

Handbook requirement

the relevant Form A

The relevant online form on the FCA and PRA's ONAsystem or the form in SUP 10A Annex 4D (See Note)

Application to perform controlled functions under the approved persons regime

SUP 10A.13.3 D

Form B

SUP 10A Annex 5R

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

SUP 10A.13.19 R

Form C

SUP 10A Annex 6R

Notice of ceasing to perform controlled functions

SUP 10A.14.8 R

Form D

SUP 10A Annex 7R

Notification of changes in personal information or application details

SUP 10A.14.15 R

Form E

The relevant online form on the FCA and PRA's ONAsystem or the form in SUP 10A Annex 8D (See Note)

Internal transfer of an approved person

SUP 10A.14.4 D

Note: The form in the SUP annex shown is to be used by credit unions, and by other firms only in the event of a failure of the information technology systems used by the FCA. See the relevant "Handbook requirement"

SUP 10A.16.1DRP
(1) This direction applies to an application under Form A or Form E.(2) An application by a firm other than a credit union must be made by submitting the Form online at fca.org.uk using the form specified on the FCA's and PRA's ONAsystem.(3) An application by a credit union must be made using the form in SUP 10A Annex 4D or SUP 10A Annex 8D and must be submitted in the way set out in SUP 15.7.4 R to SUP 15.7.9 G (Form and method of notification).(4) Where a firm is obliged to
SUP 16.14.6RRP
3A CMAR must be submitted by electronic means made available by the FCA10.10