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SUP 10A Annex 4 Form A: Application to perform controlled functions under the approved person regime

D

This annex consists only of one or more forms. Note that there are separate forms for Solvency II firms, large and small non-directive insurers, incoming EEA firms, applicants for a Part 4A permission or variation of permission that would result in an initial authorisation under MiFID, applicants for a Part 4A permission that would result in the applicant becoming exempt under article 3 of MiFID and other firms. Swiss general insurers must use the forms for large non-directive insurers not the form for Solvency II firms.3 It also includes the scope of responsibilities form which must be included as an attachment to Form A in certain cases.1 An applicant applying for a Part 4A permission or variation of permission that would result in an initial authorisation under MiFID or in the applicant becoming exempt under article 3 of MiFID is only required to use the “Long Form A – UK and Overseas Firms (not Incoming EEA) for MiFID authorisation applications” in relation to members of the management body or persons effectively directing its business.

Form A: Notes for completion (March 2016)

Form A: Notes for completion for Long Form A – UK and Overseas Firms (not Incoming EEA) for MiFID authorisations applications (January 2017)

Long Form A - UK and Overseas Firms (not Incoming EEA)

Long Form A – UK and Overseas Firms (not Incoming EEA) for MIFID authorisation applications:

Long Form A – UK and Overseas Firms (not Incoming EEA) for MIFID authorisation applications

Long Form A for Solvency II firms (excluding incoming EEA firms and large non-directive insurers)2:

Long Form A - Solvency II firms only4

Short Form A for Solvency II firms (excluding incoming EEA firms and large non-directive insurers)2:

Short Form A - Solvency II firms only4

Short Form A: UK and Overseas Firms (not incoming EEA) (March 2016)

Short Form A: Incoming EEA firms (March 2016)

Long Form A for large non-directive insurers:2

Long Form A - large non-directive insurers4

Short Form A for large non-directive insurers:2

Short Form A - large non-directive insurers4

Long Form A for small non-directive insurers:2

Long Form A - small non-directive insurers

Short Form A for small non-directive insurers:2

Short Form A - small non-directive insurers2

Scope of responsibilities form for Solvency II firms2:

Solvency II Firms: Scope of responsibilities2

Scope of responsibilities form for large non-directive insurers:2

Scope of responsibilities form - large non-directive insurers2

Scope of responsibilities form for small non-directive insurers:2

Scope of responsibilities form - small non-directive insurers2

Long Form A - Incoming EEA only

Long Form A - UK Firms (Relevant Authorised Persons only)

Long Form A: UK firms (March 2016)

Long Form A for firms which are not Solvency II firms (including large non-directive insurers) or small non-directive insurers2

(and are not incoming EEA firms or2

Relevant Authorised persons)1

Short Form A for firms which are not Solvency II firms (including large non-directive insurers) or small non-directive insurers2 (and are not incoming EEA firms or2

Relevant Authorised persons)1

Long Form A for incoming EEA firms2

Short Form A for incoming EEA firms2

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