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SUP 10.11 Procedures relating to approved persons

Forms

SUP 10.11.1G

The forms listed in SUP 10.11.2 G are referred to in SUP 10.11 (Procedures relating to approved persons) to SUP 10.14 (Further questions).

SUP 10.11.2G

Approved persons forms

the relevant 2Form A

SUP 10 Ann 4D

Application to perform controlled functions under the approved persons regime

Form B

SUP 10 Ann 5R

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

Form C

SUP 10 Ann 6R

Notice of ceasing to perform controlled functions

Form D

SUP 10 Ann 7R

Notification of changes in personal information or application details

Form E

SUP 10 Ann 8G

Internal transfer of an approved person

SUP 10.11.3G

A summary of the forms and their purposes is in SUP 10 Annex 2 G. A summary of FSA procedures is in SUP 10 Annex 3. For the method of notification to the FSA, see SUP 15.7 (Form and method of notification).

SUP 10.11.4G

Unless the context otherwise requires, in SUP 10.11 (Procedures relating to approved persons) to SUP 10.14 (Further questions) where reference is made to a firm, this also includes an applicant for Part IV permission, and other persons seeking to carry on regulated activities as an authorised person.

SUP 10.11.5G

Forms B, C, D and E can only be submitted in respect of an approved person by the firm that submitted an approved person's original application (that is, the relevant 2Form A).

SUP 10.11.6G

Copies of Forms A, B, C, D and E may be obtained from the FSA website or from the Individuals, Mutuals and Policy Department2. To contact the Individuals, Mutuals and Policy 2 Department1 for general enquiries:

11
  1. (1)

    telephone 020 7066 0019; or

  2. (2)

    fax 020 7066 0017; or

  3. (3)

    write to:

    1221The Financial Services Authority25 The North ColonnadeCanary WharfLONDON E14 5HS; or
  4. (4)

    e-mail iva@fsa.gov.uk