Related provisions for SUP 10A.14.22

SUP 16.23.7R31/12/2016

A firm must submit the Annual Financial Crime Report within 60 business days of the firm’saccounting reference date.

MAR 9.5.2G01/01/2021

Q. We are a trading venue operator. Can you please clarify how we can provide a data reporting service under the derogation from needing authorisation in regulation 5(b) to (d) of the DRS Regulations2?A. (1) The derogation (or exception) in article 59(2) of MiFID allowed2 Member States to allow a trading venue operator to provide a data reporting service without prior authorisation, if the operator verified that they complied2 with Title V of MiFID.(2) The United Kingdom2adopted

MAR 9.5.3G03/07/2017

Q. We are a market operator. Can we use the same members of our management body?A. Yes. Where the members of the management body of the APA, the CTP or the ARM are the same as the members of the management body of the regulated market you will be deemed to have complied with the management body requirement in regulation 13(1)(a) and (b) of the DRS Regulations. You will only be required to complete the full name and personal national identification number or equivalent thereof

MAR 9.5.5G03/07/2017

Q. How do we go about applying to be an ARM? A. In summary: (1) You should complete:(a) all of the questions in the application form at MAR 9 Annex 1D; and(b) the notification form for the list of members of the management body at MAR 9 Annex 2D.(2) You should sign the MIS confidentiality agreement at MAR 9 Annex 10D.(3) You should provide the documents referred to in: (a) (1)(a) and (b) together with supporting documentation to the FCA as set out in MAR 9.2.6D; and(b) (2) to

MAR 9.5.11G03/07/2017

Q. Which form should I use if I wish to cancel some, but not all, of my data reporting service?A. You should use the form at MAR 9 Annex 3D. If you expect the wind-down (run-off) of the service that you wish to cancel to take longer than six months you should discuss this with your usual supervisory contact.

MAR 9.5.12G03/07/2017

Q. I intend to apply to be authorised to provide the data reporting service of an APA. May I establish connectivity requirements while my application for authorisation is being considered?A. Yes. The MIS confidentiality agreement is available on our website at www.fca.org.uk/markets/market-data-regimes/market-data-reporting-mdp together with instructions on how to obtain the Market Interface Specification (MIS) for connectivity.

SUP 10C.14.2G10/12/2018

(1) A firm should generally use Form E where an approved person is both ceasing to perform one or more controlled functions and needs to be approved in relation to one or more FCA-designated senior management functions within the same firm or group. (2) In certain cases, a firm should use Form A. (2A) 3When a MiFID investment firm (except a credit institution) notifies the FCA of a change using Form A or Form E, it may also have to4 submit the MiFID Article 4 SMR Information Form

SUP 10C.14.4G10/12/2018

In certain circumstances, when the FCA already has the information it would usually require, a shortened version of the relevant Form A may be completed. See SUP 10C.10.8D to SUP 10C.10.8BD4 for full details.

SUP 10C.14.5R02/06/2021

(1) A firm must notify the FCA no later than ten3business days after an FCA-approved SMF manager permanently7 ceases to perform an FCA-designated senior management function.(2) It must make that notification by submitting to the FCA a completed Form C (SUP 10C Annex 5R4).(3) If: (a) the firm is also making an application for approval for that approved person to perform a controlled function within the same firm or group; and(b) ceasing to perform the FCA-designated senior management

SUP 10C.14.6G07/03/2016

SUP 10C.15 (Forms and other documents and how to submit them to the FCA) explains how notifications should be submitted.

SUP 10C.14.7R07/03/2016

(1) A firm must notify the FCA as soon as practicable after it becomes aware, or has information which reasonably suggests, that it will submit a qualified Form C for an FCA-approved SMF manager.(2) Form C is qualified if the information it contains:(a) relates to the fact that the firm has dismissed, or suspended, the FCA-approved SMF manager from its employment; (b) relates to the resignation by the FCA-approved SMF manager while under investigation by the firm, the FCA or any

SUP 10C.14.10G10/12/2018

(1) A firm can submit Form C or Form E (and any MiFID Article 4 SMR Information Form3 required by SUP 10C.10.9BD)4 to the FCA in advance of the cessation date. (2) If the actual cessation date turns out to be different from the one notified in advance, the firm should notify the FCA.(3) If the firm:4(a) does not submit Form C (including a qualified one) following notification under SUP 10C.14.7R; or4(b) submits a form in advance under (1) but it turns out that there is no requirement

SUP 10C.14.12G07/03/2016

Sending forms promptly will help to ensure that any fresh application can be processed within the standard response times.

SUP 10C.14.13R10/12/2018

If an FCA-approved SMF manager's title, name or national insurance number changes, the firm for which the person performs an FCA-designated senior management function must notify the FCA on Form D (SUP 10C Annex 6R4), of that change within seven business days of the firm4 becoming aware of the matter.

SUP 10C.14.15R10/12/2018

(1) If any of the details relating to:(a) the arrangements in relation to any of a firm'sFCA-approved SMF managers; or(b) any FCA-designated senior management functions of one of its FCA-approved SMF managers;are to change, the firm must notify the FCA on Form D (SUP 10C Annex 6R4).(2) The notification under (1) must be made as soon as reasonably practicable after the firm becomes aware of the proposed change.(3) This rule does not apply to anything required to be notified under

SUP 10C.14.16G07/03/2016

SUP 10C.15 (Forms and other documents and how to submit them to the FCA) explains how notifications should be submitted.

SUP 10C.14.18R26/07/2019

(1) If a firm becomes aware of information which would reasonably be material to the assessment of the fitness and propriety of an FCA-approved SMF manager, or of candidate to be one (see FIT), it must inform the FCA either:(a) on Form D; or(b) if it is more practical to do so and with the prior agreement of the FCA, by email or fax;as soon as practicable and, in any case, within seven business days.(2) This rule does not apply to anything required to be notified under SUP 10C.14.5R

SUP 10C.14.19G07/03/2016

SUP 10C.15 (Forms and other documents and how to submit them to the FCA) applies to the submission of Form D.

SUP 10C.14.21G07/03/2016

The duty to notify in SUP 10C.14.18R extends to any circumstances that would normally be declared when giving the information required for section 5 of Form A or matters considered in FIT 2.

SUP 10C.14.22R10/12/2018

If a firm is required to notify the FCA about an FCA-approved SMF manager under any of the following:(1) section 63(2A) of the Act (Duty to notify regulator of grounds for withdrawal of approval); or2(2) [deleted]2(3) section 64C of the Act (Requirement for 4authorised persons to notify regulator of disciplinary action);it must give that notification:(4) under SUP 10C.14.5R (Form C) if that rule applies; (5) under SUP 10C.14.7R (Qualified Form C) if that rule applies; or(6) (in

SUP 10C.14.24G10/12/2018

Table: Explanation of the sections of the Act mentioned in SUP 10C.14.22R4

1Section	Summary of relevant parts	Other Handbook material	Comments
Section 63(2A) (Duty to notify regulator of grounds for withdrawal of approval)	At least once a year, each firm must, in relation to every SMF manager for whom an approval has been given on the application of that firm: (a) consider whether there are any grounds on which the FCA could withdraw the approval; and (b) if the firm is of the opinion that there are such grounds, notify the FCA of those grounds.		FIT sets out guidance on the factors a firm should take into account when assessing the fitness and propriety of an approved person.
2	2	2
Section 64C of the Act (Requirement for 4authorised persons to notify regulator of disciplinary action)	If: (a) a firm takes disciplinary action in relation to an SMF manager; and (b) the reason, or one of the reasons, for taking that action is a reason specified in SUP 15.11.6R; the firm should notify the FCA of that fact.	SUP 15.11 (Notification of COCON breaches and disciplinary action)	An example of when a notification should be made using Form C rather than Form D is when a firm is required to notify the FCA under section 64C of the Act that it has dismissed an SMF manager.

SUP 10A.14.3G07/12/2020

If a person is to perform an FCA controlled function under this chapter in relation to7 a firm for which they5 already perform an5FCA controlled function as an approved person (whether under this chapter or SUP 10C (FCA senior managers regime for approved persons in SMCR firms))7 but they are5 not at the same time ceasing to perform an FCA controlled function or PRA controlled function for the firm or a firm in the same group5, a firm should use Form A. See SUP 10A.13.3D and

SUP 10A.14.4D02/06/2021

(1) A firm must use Form E where an approved person is both permanently8 ceasing to perform one or more controlled functions and needs to be approved in relation to one or more FCA controlled functions in relation to7 the same firm or in relation to a firm in the same7group.(2) A firm must not use Form E if: 2(a) the approved person has never before been approved to perform for any firm:2(i) an FCA controlled function that is2 a significant-influence function; or2(ii) an FCA-designated

SUP 10A.14.7G10/12/2018

[deleted]5

SUP 10A.14.8R02/06/2021

(1) A firm must submit to the FCA a completed Form C (SUP 10C Annex 5R)5 no later than ten4 business days after an FCA-approved person permanently8 ceases to perform an FCA controlled function.2(2) If:2(a) the firm is also making an application for approval for that approved person to perform a controlled function in relation to7 the same firm or to a firm in the same7group; and2(b) ceasing to perform the FCA controlled function in (1) has triggered a requirement to make that

SUP 10A.14.10R07/12/2020

(1) A firm must notify the FCA as soon as practicable after it becomes aware, or has information which reasonably suggests, that it will submit a qualified Form C in respect of an FCA-approved person.(2) Form C is qualified if the information it contains:(a) relates to the fact that the firm or the appointed representative7 has dismissed, or suspended, the FCA-approved person from its employment; or(b) relates to the resignation by the FCA-approved person while under investigation

SUP 10A.14.11G01/04/2013

Notification under SUP 10A.14.10 R may be made by telephone, email or fax and should be made, where possible, within one business day of the firm becoming aware of the information. If the firm does not submit Form C, it should inform the FCA in due course of the reason. This could be done using Form D, if appropriate.

SUP 10A.14.13G09/12/2019

A firm can submit Form C or Form E 6to the FCA in advance of the cessation date. When a person ceases the arrangement under which they perform4 an FCA controlled function, they4 will automatically cease to be an FCA-approved person in relation to that FCA controlled function. A person can only be an FCA-approved person in relation to a specific FCA controlled function. Therefore, a person is not an FCA-approved person during any period between ceasing to perform one FCA controlled

SUP 10A.14.14G01/04/2013

Sending forms promptly will help to ensure that any fresh application can be processed within the standard response times.

SUP 10A.14.15R07/12/2020

If an FCA-approved person's title, name or national insurance number changes, the authorised approved person employer7 must notify the FCA on Form D (SUP 10C Annex 6R)5 of that change within seven business days of the firm becoming aware of the matter.

SUP 10A.14.17R01/04/2013

If a firm becomes aware of information which would reasonably be material to the assessment of an FCA-approved person's, or a FCA candidate's, fitness and propriety (see FIT), it must inform the FCA on Form D, or (if it is more practical to do so and with the prior agreement of the FCA) by e-mail or fax, as soon as practicable.

SUP 10A.14.18G01/04/2013

SUP 10A.16.2 R applies to the submission of Form D.

SUP 10A.14.20R01/04/2013

The duty to notify in SUP 10A.14.17 R extends to any circumstances that would normally be declared when giving the information required for section 5 of Form A or matters considered in FIT 2.

SUP 10A.14.21G07/12/2020

(1) If, in relation to a firm which has completed the relevant Form A (SUP 10C Annex 3D7), any of the details relating to arrangements and FCA controlled functions are to change, the firm must notify the FCA on Form D (SUP 10C Annex 6R5). (2) The notification under (1) must be made as soon as reasonably practicable after the firm becomes aware of the proposed change.(3) This also applies in relation to an FCA controlled function for which an application was made using Form E.(4)

SUP 10A.14.23G01/04/2013

An example of where a firm should use Form D is when an individual who is appointed by one appointed representative becomes employed by another appointed representative but continues to perform the customer function for the firm. The firm should notify the FCA by completing Section 1.07 of Form D.

SUP 10C.15.1G07/03/2016

The purpose of this section is to: (1) summarise the main forms and other documents used in this chapter; and(2) explain how they should be submitted to the FCA.

SUP 10C.15.2G07/03/2016

The main forms and other documents used in this chapter are listed in SUP 10C.15.3G.

SUP 10C.15.3G07/12/2020

Table: FCA approved persons forms and other documents

1Form or other document		Purpose	Handbook requirement
The6 relevant Form A	SUP 10C Annex 3D6	Application to perform designated senior management functions 6	SUP 10C.10.8D
Form B	SUP 10C Annex 4R6	Notice to withdraw an application to perform controlled functions under the senior managers8 regime	SUP 10C.10.36R
Form B	SUP 10C Annex 4R6	Notice to withdraw an application to vary an approval under the senior managers regime6	SUP 10C.13.15R
Form C	SUP 10C Annex 5R6	Notice of ceasing to perform controlled functions	SUP 10C.14.5R
Form D	SUP 10C Annex 6R6	Notification of changes in personal information or application details or functions	SUP 10C.14.13R
			SUP 10C.14.15R
		Notification about fitness or of breach of conduct rules	SUP 10C.14.18R
		Notification about fitness or of breach of conduct rules	SUP 10C.14.22R
Form E	SUP 10C Annex 7D6	Internal transfer of an approved person	SUP 10C.10.9D
Form I	SUP 10C Annex 8D6	Application to vary a conditional approval 6	SUP 10C.13.6D
Form J	SUP 10C Annex 9D6	Notification of significant change to a statement of responsibilities	SUP 10C.11
Relevant3 statement of responsibilities 2	SUP 10C Annex 10D6		SUP 10C.11
4MiFID Article 4 SMR Information Form	SUP 10C Annex 11D6		SUP 10C.10.9BD6
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 ITS 6	SUP 10C.10.9AG and SUP 10C.14.6AG
[Note: Some of these forms are also used for the purposes of SUP 10A (FCA Approved Persons in Appointed Representatives)]8 6

SUP 10C.15.5G01/10/2021

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.

SUP 10C.15.7D09/12/2019

(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.(3) This direction applies to the forms and

SUP 10C.15.8R07/03/2016

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.

SUP 10C.15.10R09/12/2019

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	SUP 10C.15.11R	SUP 10C.15.11R or SUP 10C.15.14R
Form B	SUP 10C.15.14R	SUP 10C.15.14R
Form C	SUP 10C.15.11R	SUP 10C.15.11R or SUP 10C.15.14R
Form D	SUP 10C.15.11R	SUP 10C.15.11R or SUP 10C.15.14R
Form E	SUP 10C.15.11R	SUP 10C.15.11R or SUP 10C.15.14R
Form I	SUP 10C.15.11R	SUP 10C.15.11R or SUP 10C.15.14R
Form J	SUP 10C.15.11R	SUP 10C.15.11R or SUP 10C.15.14R
Relevant statement of responsibilities 2	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 II or6 III template	Submit at the same time as Form A, C and/or E	Not applicable

SUP 10C.15.11R10/12/2018

(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'sonline 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

SUP 10C.15.14R10/12/2018

(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, a6firm 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).

RCB 3.6.5D25/06/2021

Unless otherwise stated, the issuer or the owner, as the case may be, must send the relevant forms and information to the FCA's address marked for the attention of the "Regulated Covered Bonds Team2" by any of the following methods:1(1) post; or(2) leaving it at the FCA's address and obtaining a time-stamped receipt; or(3) email to rcb@fca.org.uk.

SUP 16.12.13R01/01/2022

The applicable due dates for submission referred to in 11SUP 16.12.4 R11 2 are set out in the table below. The due dates are the last day of the periods given in the table below following the relevant reporting frequency period set out in SUP 16.12.12 R, unless indicated otherwise.13

89 Data item	Quarterly	Half yearly	Annual
Solvency statement			3 months
FSA029	20 business days (note 1) 30 business days (note 2)
FSA030	20 business days (note 1) 30 business days (note 2)
FSA031	20 business days
FSA033	20 business days
FSA034	20 business days
FSA035	20 business days
FSA039		30 business days
FSA040	15 business days
FIN067	20 business days
FIN071	20 business days
MIF001	20 business days (note 1) 30 business days (note 2)
MIF002	20 business days (note 1) 30 business days (note 2)
MIF003	20 business days (note 1) 30 business days (note 2)
MIF004	20 business days (note 1) 30 business days (note 2)
MIF005	20 business days (note 1) 30 business days (note 2)
MIF006	20 business days
MIF007	The submission date that applies under MIFIDPRU 7.8.4R
Section A RMAR	30 business days	30 business days
Section B RMAR	30 business days	30 business days
Section C RMAR	30 business days	30 business days
Section D1 RMAR	30 business days	30 business days
Section F RMAR		30 business days
MLA-M	20 business days
Note 1	For reports relating to the position of an individual firm.
Note 2	For reports relating to the consolidated situation of an investment firm group.

SUP 16.12.15R01/01/2022

The applicable data items referred to in SUP 16.12.4 R are set out76 according to firm type76 in the table below:

89Description of data item	Firms’ prudential category and applicable data items (note 1)
	MIFIDPRU investment firms	Firms other than MIFIDPRU investment firms
		IPRU(INV) Chapter 3	IPRU(INV) Chapter 5	91	IPRU(INV) Chapter 11 (collective portfolio management firms only)	IPRU(INV) Chapter 12	IPRU(INV) Chapter 13
Solvency statement (note 2)	No standard format		No standard format		No standard format
Balance sheet	FSA029 (note 3)	FSA029	FSA029	91	FSA029	FSA029	Section A RMAR
Income statement	FSA030 (note 3)	FSA030	FSA030	91	FSA030	FSA030	Section B RMAR
Capital adequacy	MIF001 (note 3 and 4)	FSA033	FSA034 or FSA035 or FIN071 (note 5)	91	FIN066	FIN069	Section D1 RMAR
ICARA assessment questionnaire	MIF007 (note 4)
Supplementary capital data for collective portfolio management investment firms	FIN067 (note 9)
Threshold conditions							Section F RMAR
Volumes and types of business		FSA038	FSA038	91	FSA038		FSA038
Client money and client assets	FSA039	FSA039	FSA039	91	FSA039	FSA039	Section C RMAR
Liquidity	MIF002 (notes 3, 4 and 6)
Metrics monitoring	MIF003 (notes 3 and 4)
Concentration risk (non-K-CON)	MIF004 (notes 3, 4 and 7)
Concentration risk (K-CON)	MIF005 (notes 3, 4 and 7)
Group capital test	MIF006 (notes 4 and 8)
Information on P2P agreements						FIN070
Note 1	All firms, except MIFIDPRU investment firms in relation to items reported under MIFIDPRU 9, must, when submitting the completed data item required, use the format of the data item set out in SUP 16 Annex 24. Guidance notes for completion of the data items are contained in SUP 16 Annex 25.
Note 2	Only applicable to a firm that is a sole trader or partnership. Where the firm is a partnership, this report must be submitted by each partner.
Note 3	A UK parent entity of an investment firm group to which consolidation applies under MIFIDPRU 2.5 must also submit this report on the basis of the consolidated situation.
Note 4	Data items MIF001 – MIF007 must be reported in accordance with the rules in MIFIDPRU 9.
Note 5	FSA034 must be completed by a firm not subject to the exemption in IPRU(INV) 5.4.2R, unless it is a firm whose permitted business includes establishing, operating or winding up a personal pension scheme, in which case FIN071 must be completed. FSA035 must be completed by a firm subject to the exemption in IPRU(INV) 5.4.2R.
Note 6	Does not apply to an SNI MIFIDPRU investment firm which has been granted an exemption from the liquidity requirements in MIFIDPRU [6].
Note 7	Only applicable to a non-SNI MIFIDPRU investment firm.
Note 8	Only applicable to a parent undertaking to which the group capital test applies.
Note 9	Only applicable to firms that are collective portfolio management investment firms.

SUP 16.12.16R01/01/2022

The applicable reporting frequencies for data items referred to in SUP 16.12.15 R2 are set out in the table below according to firm type. Reporting frequencies are calculated from a firm's accounting reference date, unless indicated otherwise.

89 Data item	Non-SNI MIFIDPRU investment firm	SNI MIFIDPRU investment firm	Investment firm group	Firm other than a MIFIDPRU investment firm
Solvency statement	Annually	Annually		Annually
FSA029	Quarterly	Quarterly	Quarterly	Quarterly
FSA030	Quarterly	Quarterly	Quarterly	Quarterly
FSA031				Quarterly
FSA033				Quarterly
FSA034				Quarterly
FSA035				Quarterly
FSA039	Half yearly	Half yearly		Half yearly
FIN067	Quarterly (note 3)	Quarterly (note 3)
FIN071				Quarterly
MIF001	Quarterly (note 3)	Quarterly (note 3)	Quarterly (note 3)
MIF002	Quarterly (note 3)	Quarterly (note 3)	Quarterly (note 3)
MIF003	Quarterly (note 3)	Quarterly (note 3)	Quarterly (note 3)
MIF004	Quarterly (note 3)		Quarterly (note 3)
MIF005	Quarterly		Quarterly
MIF006	Quarterly (note 3)	Quarterly (note 3)
MIF007	Annually (note 4)	Annually (note 4)
Section A RMAR				Half yearly (note 1) Quarterly (note 2)
Section B RMAR				Half yearly (note 1) Quarterly (note 2)
Section C RMAR				Half yearly (note 1) Quarterly (note 2)
Section D1 RMAR				Half yearly (note 1) Quarterly (note 2)
Section F RMAR				Half yearly 90
Note 1	Annual regulated business revenue up to and including £5 million.
Note 2	Annual regulated business revenue over £5 million.
Note 3	Reporting frequencies and reporting periods for this data item are calculated on a calendar year basis and not by reference to the firm’s accounting reference date. The relevant quarters end on the last business day of March, June, September and December.
Note 4	The reporting period for MIF007 is determined by the date on which the firm reviews its ICARA process under MIFIDPRU 7.8.2R and the submission date that applies under MIFIDPRU 7.8.4R.

SUP 16.12.17R01/01/2022

The applicable due dates for submission referred to in SUP 16.12.4 R are set out in the table below. The due dates are the last day of the periods given in the table below following the relevant reporting frequency period set out in SUP 16.12.16 R, unless indicated otherwise.13

89 Data item	Quarterly	Half yearly	Annual
Solvency statement			3 months
FSA029	20 business days (note 1) 30 business days (note 2)
FSA030	20 business days
FSA031	20 business days
FSA033	20 business days
FSA034	20 business days
FSA035	20 business days
FSA039		30 business days
FIN067	20 business days
FIN071	20 business days
MIF001	20 business days (note 1) 30 business days (note 2)
MIF002	20 business days (note 1) 30 business days (note 2)
MIF003	20 business days (note 1) 30 business days (note 2)
MIF004	20 business days (note 1) 30 business days (note 2)
MIF005	20 business days (note 1) 30 business days (note 2)
MIF006	20 business days
MIF007	The submission date that applies under MIFIDPRU 7.8.4R
Section A RMAR	30 business days	30 business days
Section B RMAR	30 business days	30 business days
Section C RMAR	30 business days	30 business days
Section D1 RMAR	30 business days	30 business days
Section F RMAR		30 business days
Note 1	For reports relating to the position of an individual firm.
Note 2	For reports relating to the consolidated situation of an investment firm group.

SUP 16.12.19AR01/01/2022

2The applicable data items 80 referred to in SUP 16.12.4 R are set out according to type of firm 8 in the table below:

8 8 8

Description of data item 11	Firms’76 prudential category and applicable data items 76 (note 1)
Description of data item 11	IPRU(INV) Chapter 3	IPRU(INV) Chapter 5	91	IPRU(INV)Chapter 13	43
Solvency statement (note 6)5		No standard format5			43
Balance sheet	FSA029 11	FSA029 11	91	Section A RMAR89 11	43 11
Income statement	FSA030 11	FSA030 11	91	Section B RMAR89 11	43 11
Capital adequacy	FSA033 11	FSA034 or FSA035 or FIN07152or FIN072 69 (note 4)11	91	Section D1 RMAR89 50 50 62 20	43 11
5Threshold conditions				Section F RMAR89 24
Client money and client assets	FSA039	FSA039	91	Section C RMAR 5	11 43
69Pillar 2 questionnaire		FSA019 (note 8)
Note 1	When submitting the completed data item required, a firm must use the format of the data item set out in SUP 16 Annex 24. Guidance notes for completion of the data items are contained in SUP 16 Annex 25.
Note 2	[deleted]24 24
Note 3	[deleted]11 11
Note 4	FSA034 must be completed by a firm not subject to the exemption in IPRU(INV) 5.4.2R74, unless it is a firm whose permitted business includes establishing, operating or winding up a personal pension scheme, in which case FIN071 must be completed76. FSA035 must be completed by a firm subject to the exemption in IPRU(INV) 5.4.2R74, unless76 the firm is the depositary of a UCITS scheme in which case, FIN072 must be completed75.52 75 69 75 74 69
Note 5	[deleted]89 50 5
Note 6	Only applicable to a firm that is a partnership, when the report must be submitted by each partner.
5Note 7	[deleted]89 11 24 24 62 24 11
69Note 8	Only applicable to a firm that is the depositary of a UCITS scheme.

SUP 16.12.20R13/04/2018

2The applicable reporting frequencies for submission of data items referred to in SUP 16.12.4 R are set out in the table below. Reporting frequencies are calculated from a firm's accounting reference date, unless indicated otherwise.

Solvency statement	Annually
69FSA019	Annually
FSA029	Quarterly 8
FSA030	Quarterly 8
FSA031	Quarterly
FSA032	Quarterly
FSA033	Quarterly 8
FSA034	Quarterly 8
FSA035	Quarterly 8 43
FSA039	Half yearly11
52FIN071	Quarterly
69FIN072	Quarterly
5Section A RMAR	Half yearly (note 2) Quarterly (note 3)
5Section B RMAR	Half yearly (note 2) Quarterly (note 3)
5Section C RMAR	Half yearly (note 2) Quarterly (note 3)
Sections D1 and D2 RMAR80 50 50 50 62	Half yearly (note 2) Quarterly (note 3)
5Section F RMAR	Half yearly
Note 1	[deleted]8 8
5Note 2	Annual regulated business revenue up to and including £5 million.
5Note 3	5Annual regulated business revenue over £5 million.

SUP 16.12.21R13/04/2018

2The applicable due dates for submission referred to in SUP 16.12.4 R are set out in the table below. The due dates are the last day of the periods given in the table below following the relevant reporting frequency period set out in SUP 16.12.20 R.

Data item	Quarterly18	Half yearly18	Annual18
Solvency statement			3 months
69FSA019			2 months
FSA029	20 business days		11
FSA030	20 business days		11
FSA031	20 business days
FSA032	20 business days
FSA033	20 business days		11
FSA034	20 business days		11
FSA035	20 business days		11 43
FSA039		30 business days
75 69
FSA040	15 business days 3
52FIN071	20 business days
75FIN072	20 business days
5Section A RMAR	30 business days	30 business days
5Section B RMAR	30 business days	30 business days
5Section C RMAR	30 business days	30 business days
Sections D1 and D2 RMAR80 49 17 49 50 62	30 business days	30 business days
5Section F RMAR		30 business days

SUP 16.12.22AR01/01/2022

2The applicable data items referred to in SUP 16.12.4 R are set out according to type of firm in the table below:

89Description of data item	Firms’ prudential category and applicable data item (note 1)
89Description of data item	MIFIDPRU investment firms	Firms subject to IPRU(INV) Chapter 13	Firms that are also in one or more of RAGs 2 to 6 and not subject to IPRU(INV) Chapter 13
Solvency statement	No standard format (note 2)
Balance sheet	FSA029 (note 3)	Section A RMAR
Income statement	FSA030 (note 3)	Section B RMAR
Capital adequacy	MIF001 (notes 3 and 6)	Section D1 RMAR (note 9)
Liquidity	MIF002 (notes 3, 4 and 6)
Metrics monitoring	MIF003 (notes 3 and 6)
Concentration risk (non-K-CON)	MIF004 (notes 3, 5 and 6)
Concentration risk (K-CON)	MIF005 (notes 3, 5 and 6)
Group capital test	MIF006 (notes 6 and 8)
ICARA assessment questionnaire	MIF007 (note 6)
Supplementary capital data for collective portfolio management investment firms	FIN067 (note 10)
Professional indemnity insurance (note 11)90	Section E RMAR	Section E RMAR	Section E RMAR
Threshold conditions		Section F RMAR
Training and competence	Section G RMAR	Section G RMAR	Section G RMAR
COBS data	Section H RMAR	Section H RMAR	Section H RMAR
Client money and client assets	Section C RMAR	Section C RMAR
Fees and levies	Section J RMAR	Section J RMAR
Adviser charges	Section K RMAR (note 7)	Section K RMAR (note 7)	Section K RMAR (note 7)
Note 1	When submitting the completed data item required, a firm (except a MIFIDPRU investment firm in relation to an item reported under MIFIDPRU 9) must use the format of the data item set out in SUP 16 Annex 24R, or SUP 16 Annex 18AR in the case of the RMAR. Guidance notes for completion of the data items are contained in SUP 16 Annex 25, or SUP 16 Annex 18BG in the case of the RMAR.
Note 2	Only applicable to a firm that is a sole trader or partnership. Where the firm is a partnership, this report must be submitted by each partner.
Note 3	A UK parent entity of an investment firm group to which consolidation applies under MIFIDPRU 2.5 must also submit this report on the basis of the consolidated situation.
Note 4	Does not apply to an SNI MIFIDPRU investment firm which has been granted an exemption from the liquidity requirements in MIFIDPRU 6.
Note 5	Only applicable to a non-SNI MIFIDPRU investment firm.
Note 6	Data items MIF001 – MIF007 must be reported in accordance with the rules in MIFIDPRU 9.
Note 7	This item only applies to firms that provide advice on retail investment products and P2P agreements.
Note 8	Only applicable to a parent undertaking to which the group capital test applies.
Note 9	Where a firm submits data items for both RAG 7 and RAG 9, the firm must complete Section D1.
Note 10	Only applicable to firms that are collective portfolio management investment firms.
Note 11	Only applicable to firms that are subject to an FCA requirement to hold professional indemnity insurance and are not MIFIDPRU investment firms.90

SUP 16.12.23AR01/01/2022

The applicable reporting frequencies for data items referred to in SUP 16.12.22A R are set out in the table below. Reporting frequencies are calculated from a firm's accounting reference date, unless indicated otherwise.45

89 Data item	Frequency
89 Data item	Non-SNI MIFIDPRU investment firm	SNI MIFIDPRU investment firm	Investment firm group	Annual regulated business revenue up to and including £5 million	Annual regulated business revenue over £5 million
Solvency statement	Annually	Annually
FSA029	Quarterly	Quarterly	Quarterly
FSA030	Quarterly	Quarterly	Quarterly
FIN067	Quarterly	Quarterly
MIF001	Quarterly (note 1)	Quarterly (note 1)	Quarterly (note 1)
MIF002	Quarterly (note 1)	Quarterly (note 1)	Quarterly (note 1)
MIF003	Quarterly (note 1)	Quarterly (note 1)	Quarterly (note 1)
MIF004	Quarterly (note 1)		Quarterly (note 1)
MIF005	Quarterly		Quarterly
MIF006	Quarterly (note 1)	Quarterly (note 1)
MIF007	Annually (note 2)	Annually (note 2)
Section A RMAR				Half yearly	Quarterly
Section B RMAR				Half yearly	Quarterly
Section C RMAR				Half yearly	Quarterly
Section D1 RMAR				Half yearly	Quarterly
Section E RMAR	Half yearly	Half yearly	Half yearly	Half yearly	Quarterly
Section F RMAR	Half yearly	Half yearly	Half yearly	Half yearly	Half yearly
Section G RMAR	Half yearly	Half yearly	Half yearly	Half yearly	Half yearly
Section H RMAR	Half yearly	Half yearly	Half yearly	Half yearly	Half yearly
Section J RMAR	Annually	Annually	Annually	Annually	Annually
Section K RMAR	Annually	Annually	Annually	Annually	Annually
Note 1	Reporting frequencies and reporting periods for this data item are calculated on a calendar year basis and not by reference to the firm’s accounting reference date. The relevant quarters end on the last business day of March, June, September and December.
Note 2	The reporting period for MIF007 is determined by the date on which the firm reviews its ICARA process under MIFIDPRU 7.8.2R and the submission date that applies under MIFIDPRU 7.8.4R.

SUP 16.12.24AR01/01/2022

45The applicable due dates for submission referred to in SUP 16.12.4 R are set out in the table below. The due dates are the last day of the periods given in the table below following the relevant reporting frequency period set out in SUP 16.12.23A R, unless indicated otherwise.

89 Data item	Quarterly	Half yearly	Annual
Solvency statement			3 months
FSA029	20 business days (note 1) 30 business days (note 2)
FSA030	20 business days (note 1) 30 business days (note 2)
FIN067	20 business days
MIF001	20 business days (note 1) 30 business days (note 2)
MIF002	20 business days (note 1) 30 business days (note 2)
MIF003	20 business days (note 1) 30 business days (note 2)
MIF004	20 business days (note 1) 30 business days (note 2)
MIF005	20 business days (note 1) 30 business days (note 2)
MIF006	20 business days
MIF007	The submission date that applies under MIFIDPRU 7.8.4R
Section A RMAR	30 business days	30 business days
Section B RMAR	30 business days	30 business days
Section C RMAR	30 business days	30 business days
Section D1 RMAR	30 business days	30 business days
Section E RMAR	30 business days	30 business days
Section F RMAR		30 business days
Section G RMAR		30 business days
Section H RMAR		30 business days
Section J RMAR			30 business days
Section K RMAR		30 business days
Note 1	For reports relating to the position of an individual firm.
Note 2	For reports relating to the consolidated situation of an investment firm group.

SUP 16.12.25AR01/01/2022

2The applicable data items referred to in SUP 16.12.4 R are set out according to type of firm in the table below:

89Description of data item	Firms’ prudential category and applicable data items (note 1)
	MIFIDPRU investment firms	Firms other than MIFIDPRU investment firms
	MIFIDPRU investment firms	IPRU(INV) Chapter 3	IPRU(INV) Chapter 5	91	IPRU(INV) Chapter 13
Solvency statement (note 2)	No standard format
Balance sheet	FSA029 (note 3)	FSA029	FSA029	91	Section A RMAR
Income statement	FSA030 (note 3)	FSA030	FSA030	91	Section B RMAR
Capital adequacy	MIF001 (notes 3 and 5)	FSA033	FSA034 or FSA035 or FIN071 (note 4)	91	Section D1 RMAR
Liquidity	MIF002 (notes 3 and 5)
Metrics monitoring	MIF003 (notes 3 and 5)
Concentration risk (non-K-CON)	MIF004 (notes 3, 5 and 7)
Concentration risk (K-CON)	MIF005 (notes 3, 5 and 7)
Group capital test	MIF006 (notes 5 and 6)
ICARA assessment questionnaire	MIF007 (note 5)
Threshold conditions					Section F RMAR (note 17)
Client money and client assets	FSA039	FSA039	FSA039	91	Section C RMAR (note 13) or FSA039
Note 1	All firms (except MIFIDPRU investment firms in relation to items reported under MIFIDPRU 9) when submitting the completed data item required, must use the format of the data item set out in SUP 16 Annex 24. Guidance notes for completion of the data items are contained in SUP 16 Annex 25.
Note 2	Only applicable to a firm that is a sole trader or partnership. Where the firm is a partnership, this report must be submitted by each partner.
Note 3	A UK parent entity of an investment firm group to which consolidation applies under MIFIDPRU 2.5 must also submit this report on the basis of the consolidated situation.
Note 4	FSA034 must be completed by a firm not subject to the exemption in IPRU(INV) 5.4.2R, unless it is a firm whose permitted business includes establishing, operating or winding up a personal pension scheme, in which case FIN071 must be completed. FSA035 must be completed by a firm subject to the exemption in IPRU(INV) 5.4.2R.
Note 5	Data items MIF001 – MIF007 must be reported in accordance with the rules in MIFIDPRU 9.
Note 6	Only applicable to a parent undertaking to which the group capital test applies.
Note 7	Only applicable to a non-SNI MIFIDPRU investment firm.

SUP 16.12.26R01/01/2022

The applicable reporting frequencies for data items referred to in SUP 16.12.25A R are set out according to the type of firm 2 in the table below. Reporting frequencies are calculated from a firm's accounting reference date, unless indicated otherwise.

89 Data item	Non-SNI MIFIDPRU investment firm	SNI MIFIDPRU investment firm	Investment firm group	Firm other than a MIFIDPRU investment firm
Solvency statement	Annually	Annually		Annually
FSA029	Quarterly	Quarterly	Quarterly	Quarterly
FSA030	Quarterly	Quarterly	Quarterly	Quarterly
FSA031				Quarterly
FSA033				Quarterly
FSA034				Quarterly
FSA035				Quarterly
FSA039	Half yearly	Half yearly		Half yearly
FIN071				Quarterly
MIF001	Quarterly (note 3)	Quarterly (note 3)	Quarterly (note 3)
MIF002	Quarterly (note 3)	Quarterly (note 3)	Quarterly (note 3)
MIF003	Quarterly (note 3)	Quarterly (note 3)	Quarterly (note 3)
MIF004	Quarterly (note 3)		Quarterly (note 3)
MIF005	Quarterly		Quarterly
MIF006	Quarterly	Quarterly
MIF007	Annually (note 4)	Annually (note 4)
Section A RMAR				Half yearly (note 1) Quarterly (note 2)
Section B RMAR				Half yearly (note 1) Quarterly (note 2)
Section C RMAR				Half yearly (note 1) Quarterly (note 2)
Section D1 RMAR				Half yearly (note 1) Quarterly (note 2)
Section F RMAR				Half yearly
Note 1	Annual regulated business revenue up to and including £5 million.
Note 2	Annual regulated business revenue over £5 million.
Note 3	Reporting frequencies and reporting periods for this data item are calculated on a calendar year basis and not by reference to the firm’s accounting reference date. The relevant quarters end on the last business day of March, June, September and December.
Note 4	The reporting period for MIF007 is determined by the date on which the firm reviews its ICARA process under MIFIDPRU 7.8.2R and the submission date that applies under MIFIDPRU 7.8.4R.

SUP 16.12.27R01/01/2022

The applicable due dates for submission referred to in SUP 16.12.4 R are set out in the table below. The due dates are the last day of the periods given in the table below following the relevant reporting frequency period set out in SUP 16.12.26 R, unless indicated otherwise13.

89 Data item	Quarterly	Half yearly	Annual
Solvency statement			3 months
FSA029	20 business days (note 1) 30 business days (note 2)
FSA030	20 business days (note 1) 30 business days (note 2)
FSA031	20 business days
FSA033	20 business days
FSA034	20 business days
FSA035	20 business days
FSA039		30 business days
FIN071	20 business days
MIF001	20 business days (note 1) 30 business days (note 2)
MIF002	20 business days (note 1) 30 business days (note 2)
MIF003	20 business days (note 1) 30 business days (note 2)
MIF004	20 business days (note 1) 30 business days (note 2)
MIF005	20 business days (note 1) 30 business days (note 2)
MIF006	20 business days
MIF007	The submission date that applies under MIFIDPRU 7.8.4R
Section A RMAR	30 business days	30 business days
Section B RMAR	30 business days	30 business days
Section C RMAR	30 business days	30 business days
Section D1 RMAR	30 business days	30 business days
Section F RMAR	30 business days	30 business days
Note 1	For reports relating to the position of an individual firm.
Note 2	For reports relating to the consolidated situation of an investment firm group.

SUP 16.12.29AR30/04/2021

87A firm must submit the form contained in SUP 16 Annex 32R (Bidding in emissions auctions return) annually within 30 business days from its accounting reference date unless it is an exempt MiFID commodities firm that did not carry on any auction regulation bidding during the year to which that form relates.8132

SUP 16.12.33R29/06/2018

Financial reports from a member of a financial conglomerate (see SUP 16.12.32 R)

Content of Report	Form (Note 1)	Frequency	Due Date
Calculation of supplementary capital adequacy requirements in accordance with one of the three42 technical calculation methods 42	Note 2	Note 5 Yearly42	Note 5
Identification of significant risk concentration levels	Note 3	Yearly	4 months after year end
Identification of significant intra-group transactions	Note 4	Yearly	4 months after year end
Report on compliance with GENPRU 3.1.35 R where it applies 11	Note 6	Note 5	Note 5
Note 1	When giving the report required, a firm must use the form indicated, if any.
Note 2	In respect of FCA-authorised persons, if39 Part 1 of GENPRU3 Annex 1 (method80 1), or Part 2 of GENPRU 3 Annex 1 (method 2), or Part 3 of GENPRU 3 Annex 1 (method 3) applies, there is no specific form. Adequate information must be provided, specifying the calculation method used42 and each financial conglomerate for which the FCA 68 is the co-ordinator must discuss with the FCA 68 the form which this reporting will take and the extent to which verification by an auditor will be required.42 11 68 42 97 97 97 97 42
	42
	42
	79 42 42 42 42
Note 3	Rather than specifying a standard format for each financial conglomerate to use, each financial conglomerate for which the FCA 68 is the co-ordinator must discuss with the FCA 68 the form of the information to be reported. This should mean that usual information management systems of the financial conglomerate can be used to the extent possible to generate and analyse the information required. When reviewing the risk concentration levels, the FCA 68 will in particular monitor the possible risk of contagion in the financial conglomerate, the risk of a conflict of interests, the risk of circumvention of sectoral rules 68, and the level or volume of risks. 97 97 97 97 97 97
Note 4	For the purposes of this reporting requirement, an intra-group transaction will be presumed to be significant if its amount exceeds 5% of the total amount of capital adequacy requirements at the level of the financial conglomerate. Rather than specifying a standard format for each financial conglomerate to use, each financial conglomerate for which the FCA 68 is the co-ordinator must11 discuss with the FCA 68 the form of the information to be reported. This should mean that the68 usual information management systems of the financial conglomerate can be used to the extent possible to generate and analyse the information required. When reviewing the intra-group transactions, the FCA 68 will in particular monitor the possible risk of contagion in the financial conglomerate, the risk of a conflict of interest11, the risk of circumvention of sectoral rules, and the level or volume of risks. 97 97 11 97 97 97 97
Note 5	The frequency and due date will be as follows: (1) banking and investment services conglomerate; frequency is yearly80 with due date 45 business days after period end;42 and68 (2) insurance conglomerate: frequency is yearly with due date four months after period end for the capital adequacy return and three months after period end for the report on compliance with GENPRU 3.1.35 R where it applies. 11 68 11 68 42 42
Note 6	Adequate information must be added as a separate item to the relevant form for sectoral reporting.

SUP 10C.16.6G07/03/2016

Failing to disclose relevant information to the FCA may be a criminal offence under section 398 of the Act.

MAR 9.3.1D03/01/2018

1A data reporting services provider must promptly complete the material change in information form at MAR 9 Annex 5D to inform the FCA of any material change to the information provided at the time of its authorisation.

MAR 9.3.2G03/01/2018

1 A data reporting services provider must promptly complete the notification form for changes to the membership of the management body form at MAR 9 Annex 6D to inform the FCA of any change to the membership of its management body before any change to the membership of its management body or when this is impossible within 10 working days after the change.

MAR 9.3.6D03/07/2017

An APA or a CTP seeking a connection to the FCA’s market data processor system must complete the form at MAR 9 Annex 7D as soon as possible and no later than 4 weeks following authorisation as an APA or a CTP.

MAR 9.3.8D03/01/2018

(1) within 3 months of the 12 month anniversary of the commencement of its authorisation; and(2) then every year within 3 months of the same date.

MAR 9.3.10D03/07/2017

A data reporting services provider must promptly complete the ad hoc notification form in MAR 9 Annex 9D to notify the FCA in respect of all matters required by MiFID RTS 13.

MAR 9.3.12D01/07/2018

A data reporting services provider must promptly provide the forms in MAR 9 Annexes 5D, 6D, 7D, 8D and 9D and supporting documentation to the FCA: (1) at MRT@fca.org.uk; or(2) by posting it to the FCA, addressed to: The Financial Conduct Authority The Markets Reporting Team12 Endeavour Square3 London E20 1JN.3

SUP 15.14.2G13/01/2018

The purpose of this section is to give directions and guidance to payment service providers relating to the form, content and timing of notifications required under the Payment Services Regulations.

SUP 15.14.6D13/01/2018

Unless the FCA directs otherwise, a notification required by regulation 105(3) of the Payment Services Regulations and SUP 15.14.3D must be submitted by the full credit institution to the FCA: (1) in the form specified in SUP 15 Annex 9D; (2) by electronic means made available by the FCA; and(3) at the same time as it informs the person referred to in SUP 15.14.3D(1) or (2) of its refusal.

SUP 15.14.12D13/01/2018

A notification required by regulation 71(8)(c) of the Payment Services Regulations and SUP 15.14.10D must be submitted by the account servicing payment service provider to the FCA: (1) in the form specified in SUP 15 Annex 10(2) by electronic means made available by the FCA; and (3) immediately after the first occasion on which it denies the account information service provider or the payment initiation service provider in question access to a payment account.

SUP 15.14.16D13/01/2018

A notification required under SUP 15.14.15D must be submitted by the account servicing payment service provider to the FCA:(1) in the form specified in SUP 15 Annex 10; (2) by electronic means made available by the FCA; and (3) immediately after it restores access to the payment account(s) for the account information service provider or payment initiation service provider.

SUP 15.14.18G13/01/2018

Regulation 99(1) of the Payment Services Regulations provides that, if a payment service provider becomes aware of a major operational or security incident, the payment service provider must, without undue delay, notify the FCA. The purpose of this section is to direct the form and manner in which such notifications must made and the information they must contain, in exercise of the power in regulation 100(2) of the Payment Services Regulations.

SUP 15.14.24G13/01/2018

The EBA’s Guidelines on incident reporting under the Payment Services Directive contain guidelines on the completion of the form specified in SUP 15 Annex 11D. Payment service providers should use the same form in all reports concerning the same incident. Payment service providers may not have sufficient information to complete all parts of the form in the initial report. They should complete the form in an incremental manner and on a best effort basis as more information becomes

BIPRU 1.4.1R01/04/2013

A contravention of the rules in BIPRU does not give rise to a right of action by a private person under section 138D of the Act (and each of those rules is specified under section 138D(3) of the Act as a provision giving rise to no such right of action).

RCB 3.3.1D01/04/2013

The issuer must send to the FCA, information relating to the asset pool, in the form set out in RCB 3 Annex 2D (asset notification form), and information relating to the regulated covered bonds issued under the programme, in the form set out in RCB 3 Annex 3 D (asset and liability profile form).1

RCB 3.3.2D01/04/2013

The issuer must send the asset notification form1 to the FCA each month following the registration date, and the asset and liability profile form to the FCA1 within one month of the end of each quarter following the registration date.1

RCB 3.3.2AD01/04/2013

1The issuer must send to the FCA loan-by-loan level data relating to the asset pool in the form set out in RCB 3 Annex 7A D within one month of the end of each quarter following any issuance of regulated covered bonds after 1 January 2013. Guidance on how to complete this form is set out in RCB 3 Annex 7B G.

RCB 3.3.5D01/04/2013

1If the issuer or the owner (as the case may be) proposes to add or remove assets to or from the asset pool which change the level of over collateralisation by 5% or more, it must notify the FCA using the form set out in RCB 3 Annex 2 D (asset notification form) at least 5 business days prior to the proposed transfer, giving expected details of the size and composition of the transfer.

SUP 10C.10.2R10/12/2018

6Unless the context otherwise requires, in SUP 10C.10 (Application for approval and withdrawing an application for approval) to SUP 10C.15 (Forms and other documents and how to submit them to the FCA), where reference is made to a firm, this includes an applicant for Part 4A permission and other persons seeking to carry on regulated activities as an SMCR firm.

SUP 10C.10.7G07/03/2016

Outsourcing arrangements

1Outsourcing arrangements	Explanation	Submitting form
Firm A to firm B	The FCA will consider A to have taken reasonable care if it enters into a contract with B under which B is responsible for ensuring that the relevant FCA-designated senior management functions are performed by FCA-approved SMF managers, and that it is reasonable for A to rely on this.	Firm B submits FCA-approved persons forms on behalf of firm A.
Outsourcing by A to B (both being a member of the same United Kingdom group and each having its registered office in the United Kingdom)	See SUP 10C.3.9G	Either A or B may submit FCA-approved persons forms on behalf of firms in the group (see SUP 15.7.8G).
(i) A to B, where B: (a) is not an authorised person; and (b) is not part of the same group as A; or (ii) A to B, where A is a branch of an overseas firm in the United Kingdom, and B is an overseas undertaking of the same group; or (iii) A to B, where A is a UK authorised subsidiary of an overseas firm and B is an overseas undertaking of the same group.	Responsibility for (as opposed to the performance of) any activity outsourced to B will remain with A. See SYSC 8.	A ensures that an individual approved by the FCA or the PRA to perform a designated senior management function has responsibility for the outsourced arrangement and A submits a form in relation to that individual.

SUP 10C.10.8D10/12/2018

(1) An application by a firm for the FCA's approval under section 59 of the Act (Approval for particular arrangements) for the performance of an FCA-designated senior management function must be made by completing Form A (SUP 10C Annex 3D6), except where SUP 10C.10.9D requires Form E.(2) If a firm must make an application using Form A, it must use Form A (shortened form) in the circumstances described in SUP 10C.10.8AD.6

SUP 10C.10.9D02/06/2021

(1) A firm must use Form E (SUP 10C Annex 7D6) where an approved person:6(a) is both permanently10 ceasing to perform one or more controlled functions; and6(b) needs to be approved in relation to one or more FCA-designated senior management function;6within the same firm or group.(2) A firm must not use Form E if the approved person has never before been approved to perform for any firm:(a) an FCA controlled function that is a significant-influence function8;(b) an FCA-designated

SUP 10C.10.36R10/12/2018

A firm notifying the FCA of its withdrawal of an application for approval must use Form B (SUP 10C Annex 4R6).

SUP 10C.10.38G07/03/2016

SUP 10C.15 (Forms and other documents and how to submit them to the FCA) explains how a notice of withdrawal should be submitted.

SUP 10C.11.7D09/12/2019

(1) A firm must provide a revised statement of responsibilities under section 62A of the Act (SUP 10C Annex 10D)5 under cover of Form J (SUP 10C Annex 9D5).(2) A firm must not use Form J where the revisions are to be made as part of arrangements involving an application:(a) for approval for the FCA-approved SMF manager concerned to perform another designated senior management function for the same firm; or(b) to vary (under section 63ZA of the Act (Variation of senior manager’s

SUP 10C.11.8G03/01/2018

Broadly, the intention of SUP 10C.11.7D(2) is that there is no need for Form J if the revised statement of responsibilities is being submitted together with Form A, Form E, the MiFID Article 4 SMR Information Form4 or Form I for the same firm.

SUP 10C.11.9G10/12/2018

(1) SUP 10C.15 (Forms and other documents and how to submit them to the FCA) explains how revised statements of responsibilities should be submitted.(2) See the table in SUP 10C.11.19G for examples of how the requirements of this section about submitting revised statements of responsibilities apply in different situations.(3) In particular, the table in SUP 10C.11.19G gives examples of how SUP 10C.11.7D(2) and (3) work5.

SUP 10C.11.11G07/03/2016

(1) See SUP 10C.13 (Variation of conditional and time-limited approvals) for more details about applications to vary an approval.(2) SUP 10C.15 (Forms and other documents and how to submit them to the FCA) explains how applications to vary an approval should be submitted.(3) See the table in SUP 10C.11.19G for examples of how the requirements of this section about submitting statements of responsibilities with applications to vary an approval apply in different situations.

SUP 10C.11.12R26/07/2019

(1) If:5(a) an FCA-approved SMF manager ceases to perform a designated senior management function for a firm; but5(b) continues to perform an FCA-designated senior management function for that firm;5the firm must (under Form J) submit a statement of responsibilities for the remaining FCA-designated senior management functions complying with the requirements of this section (including SUP 10C.11.13D).5(2) Where the matter6 to be notified to the FCA under (1) is part of an arrangement

SUP 10C.11.19G02/06/2021

Table: Examples5 of how the requirements for submitting statements of responsibilities work

1Example	Comments
(1) A firm applies for approval for A to perform the executive director function 5 and the money laundering reporting function 5.	There should be a single statement of responsibilities document that covers the two functions. The combined document should be included with the application for approval.
(2) Firm X applies for approval for A to perform the executive director function 5. Firm Y applies for approval for A to perform the money laundering reporting function. Both firms are SMCR firms 5.	There should be separate statements of responsibilities for each firm. This is the case even if Firm X and Firm Y are in the same group.
(3) A firm applies for approval for A to perform an FCA-designated senior management function and a PRA-designated senior management function. The arrangements in SUP 10C.9 for FCA functions to be absorbed into PRA ones do not apply and so there are separate applications to the FCA and PRA. The firm is a PRA-authorised person.6	The single statement of responsibilities document should cover both the FCA and the PRA functions.
(4) A has approval to perform the executive director function 5. Later, A is to be appointed to perform the money laundering reporting function 5 for the same firm. This will also result in substantial changes to A’s duties as an executive director.	The firm should not use Form J to notify the changes to A’s duties as an executive director. The firm should submit a revised single statement of responsibilities document along with the application to perform the money laundering reporting function 5. The single statement of responsibilities document should cover both functions. The part relating to A’s duties as an executive director should be updated.
(5) A has approval to perform the executive director function 5. Later, A is to be appointed to perform the PRA's chief risk officer designated senior management function for the same firm. This will also result in substantial changes to A’s duties as an executive director. The firm is a PRA-authorised person.6	The firm should not use Form J to notify the changes to A’s duties as an executive director. The firm should submit a revised single statement of responsibilities document along with the application to perform the PRA function. The firm should not submit the revised single statement of responsibilities document separately to the FCA. Instead, it should include it as part of the application to the PRA. The single statement of responsibilities document should cover both the FCA and the PRA functions. The part relating to A’s duties as an executive director should be updated.
(6) A has approval to perform the money laundering reporting function 5. The approval to perform the money laundering reporting function 5 is subject to a condition. The firm is applying to vary that condition.	The firm should include a revised statement of responsibilities with the application. The firm should not use Form J. It should submit a revised statement of responsibilities along with the application to vary the approval.
(7) A has approval to perform the executive director function 5 and the money laundering reporting function 5 for the same firm. The approval to perform the money laundering reporting function 5 is subject to a condition. The firm is applying to vary that condition. As part of the same arrangements, there are to be substantial changes to A’s job as an executive director.	The firm should not use Form J to notify the changes to A’s duties as an executive director. The firm should submit a revised single statement of responsibilities document along with the application to vary the approval for the money laundering reporting function 5. The single statement of responsibilities document should be updated and should cover both functions.
(8) A has approval to perform the executive director function 5 and the PRA's chief risk officer designated senior management function for the same firm. The arrangements in SUP 10C.9 for FCA functions to be absorbed into PRA ones do not apply and so there are separate FCA and PRA approvals. The approval to perform the PRA's chief risk officer designated senior management function is subject to a condition. The firm is applying to vary that condition. As part of the same arrangements, there are to be substantial changes to A’s job as an executive director. The firm is a PRA-authorised person.6	The firm should not use Form J to notify the changes to A’s duties as an executive director. The firm should submit a revised single statement of responsibilities document along with the application to vary the PRA function. The firm should not submit the revised document separately to the FCA. Instead it should include it as part of the application to the PRA. The single statement of responsibilities document should cover both the FCA and the PRA functions and should be updated.
(9) A has approval to perform the executive director function 5 and the money laundering reporting function 5 for the same firm. Sometime later, A is to give up the money laundering reporting function 5 and take up the PRA's chief risk officer designated senior management function. This will involve major changes to A’s role as executive director. The firm is a PRA-authorised person.6	The answer to example (5) applies. The application to the PRA to perform the PRA function should be accompanied by a single document that: (1) contains the statement of responsibilities for the new function; (2) contains the revised statement of responsibilities for the executive director function 5; and (3) reflects the fact that A is no longer performing the money laundering reporting function 5.
(10) A firm has approval for A to perform the executive director function 5 and the money laundering reporting function 5. A then ceases to perform the money laundering reporting function 5 but continues to perform the executive director function.5	The firm must submit: (a) Form C for the money laundering reporting function 5; (b) Form J; and (c) a single updated statement of responsibilities document that covers the executive director function and reflects the fact that A is no longer performing the money laundering reporting function 5.
(11) A has approval to perform the executive director function 5 and the PRA's chief risk officer designated senior management function for the same firm. Later, A gives up his role as chief risk officer. The firm is a PRA-authorised person.6	The firm must submit: (a) Form C for the PRA function; (b) Form J; and (c) a single updated statement of responsibilities document that covers the executive director function 5. The firm should not submit the revised single statement of responsibilities document separately to the FCA. Instead, it should include it as part of the notification to the PRA.
(12) A has approval to perform the executive director function 5. Later, A is to be appointed to perform the money laundering reporting function 5 for the same firm. The application is rejected.	The single statement of responsibilities document submitted as part of the application will no longer be correct as it reflects the proposed new approval. If the only changes to the single document in the version sent with the application are ones5 clearly and exclusively tied to the new function, the firm will not need to amend the document as the changes will automatically fall away. In any other case (for instance if the application is approved conditionally), it is likely that the firm will need to update it using Form J. In any case, the FCA may contact the firm to agree a revised single statement of responsibilities document.
(13) A has approval to perform the money laundering reporting function 5. Later, A is to be appointed as an executive director5 for the same firm. This will not result in any significant5 changes to A’s duties in the money laundering reporting function 5. However, there have been some insignificant changes to A’s role in the money laundering reporting function 5 since the firm submitted the most recent single statement of responsibilities document. The changes are not connected to A’s appointment as executive director5.	The answer for example (4) applies. The single statement of responsibilities document should be updated to cover the changes to A’s duties in the money laundering role as well as covering A’s appointment to perform the executive director function. It does not matter that the changes to A’s money laundering role5 are not significant.
(14) A has approval to perform the executive director function 5. Later, A’s business unit grows in size and so the firm needs to apply for A to be approved to perform the PRA's Head of Key Business Area designated senior management function. However, A’s responsibilities do not change. The firm is a PRA-authorised person.6	The firm should submit a revised single statement of responsibilities document along with the application to perform the PRA function. The firm should submit a single statement of responsibilities document that covers both the FCA and the PRA functions. It should not submit the revised single statement of responsibilities document separately to the FCA. Instead, it should include it as part of the application to the PRA.
2(15) Firm X has a branch in the United Kingdom. Firm Y is a UK authorised subsidiary 3 of firm X. Firm X is an overseas SMCR firm that is not an EEA SMCR firm 5 and firm3 Y is a UK SMCR firm 5. Both firms apply for approval for the same individual (P) to perform the executive director function 5. 3	There should be separate statement of responsibilities for P for each firm.
7(16) An FCA-approved SMF manager goes on or returns from a temporary absence of longer than 12 weeks.	The firm must submit: (a) Form D (SUP 10C Annex 6R); (b) Form J (SUP 10C Annex 9D); and (c) an updated statement of responsibilities document (SUP 10C Annex 10D).
Note:5 The single statement of responsibilities document means the single document described in SUP 10C.11.13D.5

1Example

Comments

(1) A firm applies for approval for A to perform the executive director function 5 and the money laundering reporting function 5.

There should be a single statement of responsibilities document that covers the two functions.

The combined document should be included with the application for approval.

(2) Firm X applies for approval for A to perform the executive director function 5. Firm Y applies for approval for A to perform the money laundering reporting function. Both firms are SMCR firms 5.

There should be separate statements of responsibilities for each firm.

This is the case even if Firm X and Firm Y are in the same group.

(3) A firm applies for approval for A to perform an FCA-designated senior management function and a PRA-designated senior management function.

The arrangements in SUP 10C.9 for FCA functions to be absorbed into PRA ones do not apply and so there are separate applications to the FCA and PRA.

The firm is a PRA-authorised person.6

The single statement of responsibilities document should cover both the FCA and the PRA functions.

(4) A has approval to perform the executive director function 5. Later, A is to be appointed to perform the money laundering reporting function 5 for the same firm. This will also result in substantial changes to A’s duties as an executive director.

The firm should not use Form J to notify the changes to A’s duties as an executive director.

The firm should submit a revised single statement of responsibilities document along with the application to perform the money laundering reporting function 5.

The single statement of responsibilities document should cover both functions. The part relating to A’s duties as an executive director should be updated.

(5) A has approval to perform the executive director function 5. Later, A is to be appointed to perform the PRA's chief risk officer designated senior management function for the same firm. This will also result in substantial changes to A’s duties as an executive director.

The firm is a PRA-authorised person.6

The firm should not use Form J to notify the changes to A’s duties as an executive director.

The firm should submit a revised single statement of responsibilities document along with the application to perform the PRA function.

The firm should not submit the revised single statement of responsibilities document separately to the FCA. Instead, it should include it as part of the application to the PRA.

The single statement of responsibilities document should cover both the FCA and the PRA functions. The part relating to A’s duties as an executive director should be updated.

(6) A has approval to perform the money laundering reporting function 5. The approval to perform the money laundering reporting function 5 is subject to a condition. The firm is applying to vary that condition.

The firm should include a revised statement of responsibilities with the application.

The firm should not use Form J. It should submit a revised statement of responsibilities along with the application to vary the approval.

(7) A has approval to perform the executive director function 5 and the money laundering reporting function 5 for the same firm. The approval to perform the money laundering reporting function 5 is subject to a condition. The firm is applying to vary that condition. As part of the same arrangements, there are to be substantial changes to A’s job as an executive director.

The firm should not use Form J to notify the changes to A’s duties as an executive director.

The firm should submit a revised single statement of responsibilities document along with the application to vary the approval for the money laundering reporting function 5.

The single statement of responsibilities document should be updated and should cover both functions.

(8) A has approval to perform the executive director function 5 and the PRA's chief risk officer designated senior management function for the same firm. The arrangements in SUP 10C.9 for FCA functions to be absorbed into PRA ones do not apply and so there are separate FCA and PRA approvals.

The approval to perform the PRA's chief risk officer designated senior management function is subject to a condition. The firm is applying to vary that condition. As part of the same arrangements, there are to be substantial changes to A’s job as an executive director.

The firm is a PRA-authorised person.6

The firm should not use Form J to notify the changes to A’s duties as an executive director.

The firm should submit a revised single statement of responsibilities document along with the application to vary the PRA function.

The firm should not submit the revised document separately to the FCA. Instead it should include it as part of the application to the PRA.

The single statement of responsibilities document should cover both the FCA and the PRA functions and should be updated.

(9) A has approval to perform the executive director function 5 and the money laundering reporting function 5 for the same firm.

Sometime later, A is to give up the money laundering reporting function 5 and take up the PRA's chief risk officer designated senior management function. This will involve major changes to A’s role as executive director.

The firm is a PRA-authorised person.6

The answer to example (5) applies.

The application to the PRA to perform the PRA function should be accompanied by a single document that:

(1) contains the statement of responsibilities for the new function;

(2) contains the revised statement of responsibilities for the executive director function 5; and

(3) reflects the fact that A is no longer performing the money laundering reporting function 5.

(10) A firm has approval for A to perform the executive director function 5 and the money laundering reporting function 5.

A then ceases to perform the money laundering reporting function 5 but continues to perform the executive director function.5

The firm must submit:

(a) Form C for the money laundering reporting function 5;

(b) Form J; and

(c) a single updated statement of responsibilities document that covers the executive director function and reflects the fact that A is no longer performing the money laundering reporting function 5.

(11) A has approval to perform the executive director function 5 and the PRA's chief risk officer designated senior management function for the same firm. Later, A gives up his role as chief risk officer.

The firm is a PRA-authorised person.6

The firm must submit:

(a) Form C for the PRA function;

(b) Form J; and

(c) a single updated statement of responsibilities document that covers the executive director function 5.

The firm should not submit the revised single statement of responsibilities document separately to the FCA. Instead, it should include it as part of the notification to the PRA.

(12) A has approval to perform the executive director function 5. Later, A is to be appointed to perform the money laundering reporting function 5 for the same firm.

The application is rejected.

The single statement of responsibilities document submitted as part of the application will no longer be correct as it reflects the proposed new approval.

If the only changes to the single document in the version sent with the application are ones5 clearly and exclusively tied to the new function, the firm will not need to amend the document as the changes will automatically fall away.

In any other case (for instance if the application is approved conditionally), it is likely that the firm will need to update it using Form J.

In any case, the FCA may contact the firm to agree a revised single statement of responsibilities document.

(13) A has approval to perform the money laundering reporting function 5. Later, A is to be appointed as an executive director5 for the same firm.

This will not result in any significant5 changes to A’s duties in the money laundering reporting function 5. However, there have been some insignificant changes to A’s role in the money laundering reporting function 5 since the firm submitted the most recent single statement of responsibilities document. The changes are not connected to A’s appointment as executive director5.

The answer for example (4) applies.

The single statement of responsibilities document should be updated to cover the changes to A’s duties in the money laundering role as well as covering A’s appointment to perform the executive director function. It does not matter that the changes to A’s money laundering role5 are not significant.

(14) A has approval to perform the executive director function 5. Later, A’s business unit grows in size and so the firm needs to apply for A to be approved to perform the PRA's Head of Key Business Area designated senior management function. However, A’s responsibilities do not change.

The firm is a PRA-authorised person.6

The firm should submit a revised single statement of responsibilities document along with the application to perform the PRA function.

The firm should submit a single statement of responsibilities document that covers both the FCA and the PRA functions.

It should not submit the revised single statement of responsibilities document separately to the FCA. Instead, it should include it as part of the application to the PRA.

2(15) Firm X has a branch in the United Kingdom. Firm Y is a UK authorised subsidiary 3 of firm X.

Firm X is an overseas SMCR firm that is not an EEA SMCR firm 5 and firm3 Y is a UK SMCR firm 5.

Both firms apply for approval for the same individual (P) to perform the executive director function 5.

3

There should be separate statement of responsibilities for P for each firm.

7(16) An FCA-approved SMF manager goes on or returns from a temporary absence of longer than 12 weeks.

The firm must submit:

(a) Form D (SUP 10C Annex 6R);

(b) Form J (SUP 10C Annex 9D); and

(c) an updated statement of responsibilities document (SUP 10C Annex 10D).

Note:5 The single statement of responsibilities document means the single document described in SUP 10C.11.13D.5

SUP 10A.12.2G07/12/2020

Table: FCA-approved persons forms

Form		Purpose	Handbook requirement
the relevant Form A	SUP 10C Annex 3D7 3 1 1	Application to perform controlled functions under the approved persons regime	SUP 10A.13.3 D
Form B	SUP 10C Annex 4R5	Notice to withdraw an application to perform controlled functions under the approved persons regime	SUP 10A.13.19 R
Form C	SUP 10C Annex 5R5	Notice of ceasing to perform controlled functions	SUP 10A.14.8 R
Form D	SUP 10C Annex 6R5	Notification of changes in personal information or application details	SUP 10A.14.15 R
Form E	SUP 10C Annex 7D7 1 1 3	Internal transfer of an approved person	SUP 10A.14.4 D
7 5 5 5 6
7 5

SUP 10A.12.3G07/12/2020

[deleted]7

SUP 10A.12.6G01/10/2021

Copies of Forms A, B, C, D and E may be obtained from the FCA website. Credit unions can obtain copies from the FCA's Supervision Hub8. To contact the FCA's2 Supervision Hub8 for approved persons enquiries:22(1) telephone 0300 500 0597;2or2(2) e-mail firm.queries@fca.org.uk; or(3) fax 020 7066 0017; or(4) write to:Supervision Hub8The Financial Conduct Authority12 Endeavour Square4London4E20 1JN.4

SUP 12.7.1R01/10/2018

(1) 6This rule applies to a firm which intends to appoint:6636(a) an appointed representative to carry on insurance distribution activities15; or1346611(b) a tied agent; or1166(c) an appointed representative to carry on MCD credit intermediation activity.11; or13(d) a MiFID optional exemption appointed representative; or13(e) a structured deposit appointed representative.134(2) This rule also applies to a firm which has appointed an appointed representative.63(3) A firm in (1)

SUP 12.7.1AR25/05/2018

(1) A firm16 other than:99(a) a credit union; or9(b) a firm which intends to appoint , or has appointed, an appointed representative to carry on only credit-related regulated activity;9must submit the form in SUP 12 Annex 3 via16 online 9submission16 at the FCA’s website at16http://www.fca.org.uk or any of the methods set out in SUP 15.7.4R to SUP 15.7.5AR (Method of notification)16.1010(2) A credit union or a firm which intends to appoint , or has appointed, an appointed representative

SUP 12.7.7R01/10/2018

(1) If:434(a) (i) the scope of appointment of an appointed representative is extended to cover insurance distribution activities15 for the first time; and42(ii) the appointed representative is not included on the Financial Services Register as carrying on insurance distribution activities15 in another capacity; or42(b) the scope of appointment of an appointed representative ceases to include insurance distribution activity15;42the appointed representative's principal must give

SUP 12.7.8R21/03/2016

(1) As soon as a firm has reasonable grounds to believe that any of the conditions in SUP 12.4.2 R,SUP 12.4.6 R,11SUP 12.4.8A R4, SUP 12.4.10A R or SUP 12.4.10B R11 (as applicable) are not satisfied, or are likely not to be satisfied, in relation to any of its appointed representatives, it must complete and submit to the FCA the form in SUP 12 Annex 4 R (Appointed representative notification form), in accordance with the instructions on the form.3(2) In its notification under

SUP 12.7.8AR26/01/2017

(1) 8Subject to (2A), a 9firm 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'sonline notification and application system12.91010(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).(2A) If the notification:9(a) relates to an appointed representative whose scope of appointment covers only credit-related regulated

MAR 9.2.1D01/01/2021

(1) 1Each of the following must complete the forms in (2):(a) an applicant for a data reporting service authorisation;(b) a 3MiFID investment firm operating a trading venue seeking verification of its rights to provide a data reporting service under regulation 5(b) and (c) of the DRS Regulations; and(c) a UK RIE operating a trading venue seeking verification of its rights to provide a data reporting service under regulation 5(d) of the DRS Regulations.(2) The forms in (1) are:(a)

MAR 9.2.3D03/01/2018

1If a data reporting services provider wishes to extend or otherwise vary its data reporting service authorisation it must complete the variation of authorisation form at MAR 9 Annex 3D.

MAR 9.2.5D03/01/2018

1If a data reporting services provider wishes to cancel all of its data reporting service authorisation it must complete the cancellation of authorisation form at MAR 9 Annex 4D.

MAR 9.2.6D01/07/2018

A person must provide MAR 9 Annexes 1D, 2D, 3D and 4D together with supporting documentation to the FCA by:(1) emailing MiFiDII.Applications@fca.org.uk; or(2) posting to the FCA addressed to: The Financial Conduct Authority FAO The Authorisations Support Team12 Endeavour Square2 London E20 1JN.2

Related provisions for SUP 10A.14.22

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