Content Options

REC 3.2 Form and method of notification

Form of notification

REC 3.2.1R

Where a recognised body is required to give any notice or information under any notification rule, it may do so (unless that rule expressly provides otherwise) orally or in writing, whichever is the more appropriate in the circumstances, but, where it gives notice or information orally, it must confirm that notice or information in writing promptly.

Method of notification

REC 3.2.2R

Unless otherwise stated in the notification rule, a written notification required from a recognised body under any notification rule must be:

  1. (1)

    given to, or addressed for the attention of, the recognised body's usual supervisory contact at the FCA;1

    1
  2. (2)

    delivered to the FCA1 by one of the methods in REC 3.2.3 R.

    1
REC 3.2.3R

Methods of notification

Method 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 receipt

1

(4)

Hand delivery to the recognised body's usual supervisory contact at the FCA1

1

(5)

Fax to a fax number for the recognised body's usual supervisory contact at the FCA,1 provided that the FCA1 receives a copy of the notification by one of methods (1) - (4) in this table within five business days after the date of the faxed notification

11
REC 3.2.4R

The address for a written notification to the FCA1 is:

The Financial Conduct Authority1

25 The North Colonnade

Canary Wharf

London E14 5HS

11

Timely notification

REC 3.2.5R

If a notification rule requires notification within a specified period:

  1. (1)

    the recognised body must give the notification so as to be received by the FCA1 no later than the end of that period; and

    1
  2. (2)

    if the end of that period falls on a day which is not a business day, the notification must be given so as to be received by the FCA1 no later than the first business day after the end of that period.

    1

Service of Notice Regulations

REC 3.2.6G

The Financial Services and Markets Act 2000 (Service of Notices) Regulations 2001 (SI 2001/1420) do not apply to notifications required under the notification rules in this chapter and in REC 6 because of the specific rules in this section.

1