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 functions6 |
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Form B |
Notice to withdraw an application to perform controlled functions under the senior managers8 regime |
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Notice to withdraw an application to vary an approval under the senior managers regime6 |
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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 |
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Form I |
Application to vary a conditional approval 6 |
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Form J |
Notification of significant change to a statement of responsibilities |
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Relevant3statement 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 the MiFID authorisation and management body change notification ITS6 |
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[Note: Some of these forms are also used for the purposes of SUP 10A (FCA Approved Persons in Appointed Representatives)]86 |
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