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  • SUP
  • SUP 10C
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More Resources:

External link Authorisation application packs should be submitted via the ONA system
External link Systems and Reporting
External link Waivers

SUP - Forms

  • SUP_16_ann_18B_01

    Chapter: SUP 16 Annex 18B

    Effective Date: 4th November 2016

  • SUP_16_ann_18B_02

    Chapter: SUP 16 Annex 18B

    Effective Date: 4th November 2016

  • SUP_16_ann_18B_03

    Chapter: SUP 16 Annex 18B

    Effective Date: 4th November 2016

  • sup10A_annex4D_20141001 form

    Chapter: 10A Annex 4D

    Effective Date: 12th November 2015

  • SUP_16_ann_18B_04

    Chapter: SUP 16 Annex 18B

    Effective Date: 4th November 2016

  • Application form for a direction under section 101(8) of the CCA

    Chapter: SUP 8A Annex 2

    Effective Date: 1st April 2014

  • Cancellation of permission application form

    Chapter: 6 Annex 6D

    Effective Date: 26th February 2016

  • Waiver Application form

    Chapter: SUP 8 Annex 2

    Effective Date: 1st April 2013

  • Application form for a direction under section 60(3) of the CCA

    Chapter: SUP 8A Annex 1

    Effective Date: 27th August 2014

  • Short Form A – UK Relevant Authorised Persons and Third Country Relevant Authorised Persons only

    Chapter: 10C Annex 2

    Effective Date: 8th December 2017

  • Short Form A – EEA Relevant Authorised Persons Only

    Chapter: 10C Annex 2

    Effective Date: 8th December 2017

  • SUP_15_Ann_2R_IMAP_FORMF_NOTES_2013-04-01

    Chapter: 15 Annex 2R

    Effective Date: 12th October 2015

  • UCITS management companies reporting forms and requirements applying to their completion

    Chapter: SUP 16 Annex 16

    Effective Date: 6th April 2007

  • Variation of Permission (VOP) Application Consumer Credit Activities

    Chapter: 6 Annex 5D

    Effective Date: 29th March 2019

  • Variation of Permission (VOP) Application Consumer Credit Activities

    Chapter: SUP 6 Annex 5

    Effective Date: 1st November 2004

  • Consolidated supervision return for investment firms

    Chapter: SUP 16 Annex 22

    Effective Date: 1st April 2009

  • Notes for completion: Variation of Permission (VOP) Application Consumer Credit Activities

    Chapter: SUP 6 Annex 5

    Effective Date: 1st November 2004

  • Short Form A – UK and Overseas Firms (not Incoming EEA)

    Chapter: SUP 10A Annex 4D

    Effective Date: 12th January 2016

  • Form G Retail Investment Advisor Complaints Notification Form

    Chapter: 15 Annex 8

    Effective Date: 4th March 2016

  • Short Form A - Incoming EEA Only Application to perform controlled functions under the approved persons regime

    Chapter: SUP10A Annex 4D

    Effective Date: 12th January 2016

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