Content Options:

Add to favourites

View Options:

More Resources:

External link Handbook Publications

You are viewing the version of the document as on 2023-12-31.

Article 7 Format of the application

  1. (1)

    A third party shall allocate a unique reference number to each document it submits to the FCA as part of its application.

  2. (2)

    A third party shall include a substantiated explanation in its application for any requirement of this Regulation considered non-applicable.

  3. (3)

    The application referred to in Article 1 shall be accompanied by a letter signed by a member of the third party's management body confirming that:

    1. (a)

      the submitted information is accurate and complete to the best of his or her knowledge, as of the date of the submission of the application;

    2. (b)

      the applicant is neither a regulated entity as defined in point (4) of Article 2 of Directive 2002/87/EC, nor a credit rating agency as defined in Article 3(1) of Regulation (EC) No 1060/2009.