Content Options

View Options

Status: You are viewing the version of the handbook as on 2012-01-07.

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

Form3

Purpose3

Handbook requirement3

the relevant Form A

The relevant online form on the FSA's ONA system or the form in SUP 10 Annex 4D (See Note)3

Application to perform controlled functions under the approved persons regime

SUP 10.12.2D3

Form B

SUP 10 Annex 5R

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

SUP 10.12.13R3

Form C

SUP 10 Annex 6R

Notice of ceasing to perform controlled functions

SUP 10.13.6R3

Form D

SUP 10 Annex 7R

Notification of changes in personal information or application details

SUP 10.13.14R3

Form E

The relevant online form on the FSA's ONA system or the form in SUP 10 Annex 8D (See Note)3

Internal transfer of an approved person

SUP 10.13.3 D3

Note: The form in the SUP annex shown is to be used by credit unions, and by other firms only in the event of a failure of the FSA's information technology systems. See the relevant "Handbook requirement".3

SUP 10.11.3G

A summary of the forms and their purposes is in SUP 10 Annex 2 G.

3
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.3 Credit unions can obtain copies3 from the Individuals, Mutuals and Policy Department2by email at iva@fsa.gov.uk or from the FSA's Firm Contact Centre.3 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