Related provisions for SUP 15.7.6A

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To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

FEES 4.4.9DRP
3To the extent that a firm4 has provided the information required by FEES 4.4.7 D to the FCA as part of its compliance with another provision of the Handbook, it is deemed to have complied with the provisions of that direction.444
SUP 10C.14.24GRP

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 15.7.5ARRP

7Methods of notification

Method of delivery

1.

Post to the appropriate address in SUP 15.7.6A G

2.

Leaving the notification at the appropriate address in SUP 15.7.6A G and obtaining a time-stamped receipt

3.

Electronic mail to an address for the firm's usual supervisory contact at the FCA and obtaining an electronic confirmation of receipt

4.

Hand delivery to the firm's usual supervisory contact at the FCA

5.

Fax to a fax number for the firm's usual supervisory contact at the FCA and receiving a successful transmission report for all pages of the notification

6.

Online submission via the FCA's website at www.fca.org.uk.

SUP 15.13.7GRP
The MCD Order requires notification to be given immediately. The FCA expects CBTL firms to act with all due urgency in notifying it of any relevant event, and it is unlikely that the FCA will regard delay in excess of 5 working days as complying with the CBTL firm's obligations.
SUP 10A.17.2GRP
If the firm or its advisers have further questions, they should contact the FCA's Contact Centre (see SUP 10A.12.6 G).
REC 3.2.3RRP
Methods of notificationMethod of delivery(1)Post to the address in REC 3.2.4 R(2)Leaving the notification at the address in REC 3.2.4 R and obtaining a time-stamped receipt(3)Electronic mail to an address for the recognised body's usual supervisory contact at the FCA1 and obtaining an electronic confirmation of receipt1(4)Hand delivery to the recognised body's usual supervisory contact at the FCA11(5)Fax to a fax number for the recognised body's usual supervisory contact at the
SUP 10C.15.3GRP

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 functions6

SUP 10C.10.8D

Form B

SUP 10C Annex 4R6

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

SUP 10C.10.36R

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

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

Relevant3statement 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 ITS6

SUP 10C.10.9AG and SUP 10C.14.6AG

6

REC 2.5.1UKRP
Schedule to the Recognition Requirements Regulations, paragraphs 3 – 3H4Paragraph 3 – Systems and controls4(1)The [UK RIE] must ensure that the systems and controls, including procedures and arrangements,4 used in the performance of its functions and the functions of the trading venues it operates are adequate, effective4 and appropriate for the scale and nature of its business.(2)Sub-paragraph (1) applies in particular to systems and controls concerning - (a)the transmission