Status: Please note you should read all Brexit changes to the FCA Handbook and BTS alongside the main FCA transitional directions. Where these directions apply the 'standstill', firms have the choice between complying with the pre-IP completion day rules, or the post-IP completion day rules. To see a full list of Handbook modules affected, please see Annex B to the main FCA transitional directions.

SUP 10A.12 Procedures relating to FCA-approved persons

Forms

SUP 10A.12.1G

The forms listed in SUP 10A.12.2 G are referred to in SUP 10A.12 (Procedures relating to FCA-approved persons) to SUP 10A.16 (How to apply for approval and give notifications)7.

SUP 10A.12.2GRP

Table: FCA-approved persons forms

Form

Purpose

Handbook requirement

the relevant Form A

SUP 10C Annex 3D7

311

Application to perform controlled functions under the approved persons regime

SUP 10A.13.3 D

Form B

SUP 10C Annex 4R5

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

SUP 10A.13.19 R

Form C

SUP 10C Annex 5R5

Notice of ceasing to perform controlled functions

SUP 10A.14.8 R

Form D

SUP 10C Annex 6R5

Notification of changes in personal information or application details

SUP 10A.14.15 R

Form E

SUP 10C Annex 7D7

113

Internal transfer of an approved person

SUP 10A.14.4 D

7

5556

7

5
SUP 10A.12.3GRP

[deleted]7

SUP 10A.12.4GRP

Unless the context otherwise requires, in SUP 10A.12 (Procedures relating to FCA-approved persons) to SUP 10A.16 (How to apply for approval and give notifications) 7where reference is made to a firm, this also includes an applicant for Part 4A permission, and other persons seeking to carry on regulated activities as an authorised person.

SUP 10A.12.5GRP

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

SUP 10A.12.6GRP

Copies of Forms A, B, C, D and E may be obtained from the FCA website. Credit unions can obtain copies from the FCA's Contact Centre. To contact the FCA's2Contact Centre for approved persons enquiries:

22
  1. (1)

    telephone 0300 500 0597;2or

    2
  2. (2)

    e-mail firm.queries@fca.org.uk; or

  3. (3)

    fax 020 7066 0017; or

  4. (4)

    write to:

    Customer Contact Centre

    The Financial Conduct Authority

    12 Endeavour Square4

    London4

    E20 1JN.4