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SUP 10C.15 1Forms and other documents and how to submit them to the FCA

Purpose

SUP 10C.15.1G

The purpose of this section is to:

  1. (1)

    summarise the main forms and other documents used in this chapter; and

  2. (2)

    explain how they should be submitted to the FCA.

Forms and documents

SUP 10C.15.2G

The main forms and other documents used in this chapter are listed in SUP 10C.15.3G.

SUP 10C.15.3G

Table: FCA approved persons forms and other documents

1Form or other document

Purpose

Handbook requirement

the relevant Form A

SUP 10C Annex 2D

Application to perform designated senior management functions under the approved persons regime

SUP 10C.10.8D

Form B

SUP 10A Annex 5R

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

SUP 10C.10.36R

Notice to withdraw an application to vary an approval under the senior management regime for SMF managers

SUP 10C.13.15R

Form C

SUP 10A Annex 6R

Notice of ceasing to perform controlled functions

SUP 10C.14.5R

Form D

SUP 10A Annex 7R

Notification of changes in personal information or application details or functions

SUP 10C.14.13R

SUP 10C.14.15R

Notification about fitness or of breach of conduct rules

SUP 10C.14.18R

SUP 10C.14.22R

Form E

SUP 10C Annex 3D

Internal transfer of an approved person

SUP 10C.10.9D

Form I

SUP 10C Annex 4D

Application to vary a conditional approval under the senior management regime for SMF managers

SUP 10C.13.6D

Form J

SUP 10C Annex 6D

Notification of significant change to a statement of responsibilities

SUP 10C.11

Relevant3 statement of responsibilities

2

SUP 10C Annex 5D

SUP 10C.11

Note: Some of the forms are also used in SUP 10A, which deals with the approved persons regime for firms that are not relevant authorised persons.

Therefore:

(1) where column three refers to the approved persons regime, that includes the senior management regime for SMF managers in this chapter, as well as the regime in SUP 10A for approved persons in firms that are not relevant authorised persons;

(2) where column three refers to approved persons, that includes SMF managers in this chapter as well as other approved persons in SUP 10A

SUP 10C.15.4G

SUP 10C Annex 1G gives examples of the circumstances in which the documents in SUP 10C.15.3G should be used.

SUP 10C.15.5G

Copies of the forms in SUP 10C.15.3G and of the statement of responsibilities may be obtained from the FCA website. Credit unions can obtain copies from the FCA's Firm Contact Centre.

SUP 10C.15.6G

To contact the FCA’s Customer Contact Centre for approved persons enquiries:

  1. (1)

    telephone: 0300 500 0597;

  2. (2)

    email: firm.queries@fca.org.uk;

  3. (3)

    fax: 020 7066 0017; or

  4. (4)

    write to:

    1. Customer Contact Centre

    2. The Financial Conduct Authority

    3. 25 The North Colonnade

    4. Canary Wharf

    5. LONDON E14 5HS.

How to make applications and give notifications

SUP 10C.15.7D
  1. (1)

    A firm other than a credit union must submit a document in column 1 of the table in SUP 10C.15.10R, in accordance with the corresponding requirement in column two of that table.

  2. (2)

    A credit union must submit a document in column 1 of the table in SUP 10C.15.10R, in accordance with the corresponding requirement in column three of that table.

  3. (3)

    This direction applies to the forms and other documents listed in the table in SUP 10C.15.10R that are submitted under a direction.

SUP 10C.15.8R

SUP 10C.15.7D also applies to the forms and other documents listed in the table in SUP 10C.15.10R that are submitted under a rule.

SUP 10C.15.9G

It is up to the credit union concerned to decide which of the methods of submission available to it under SUP 10C.15.10R it is going to use.

SUP 10C.15.10R

Table: Method of submission

1Form or other document

Firms that are not credit unions

Credit unions

The relevant Form A

SUP 10C.15.11R

SUP 10C.15.11R or SUP 10C.15.14R

Form B

SUP 10C.15.14R

SUP 10C.15.14R

Form C

SUP 10C.15.11R

SUP 10C.15.11R or SUP 10C.15.14R

Form D

SUP 10C.15.11R

SUP 10C.15.11R or SUP 10C.15.14R

Form E

SUP 10C.15.11R

SUP 10C.15.11R or SUP 10C.15.14R

Form I

SUP 10C.15.11R

SUP 10C.15.11R or SUP 10C.15.14R

Form J

SUP 10C.15.11R

SUP 10C.15.11R or SUP 10C.15.14R

Relevant statement of responsibilities2

In accordance with the requirements for the form with which it is submitted

In accordance with the requirements for the form with which it is submitted

Method of submission: electronic submission

SUP 10C.15.11R
  1. (1)

    An application or submission by a firm made under this rule must be made by submitting the form or document online at fca.org.uk using the FCA's and PRA's Connect system.

  2. (2)

    A firm must use the version of the form or document made available on the electronic system referred to in (1), which is based on the version found in the applicable Annex to this chapter or to SUP 10A (which are listed in SUP 10C.15.3G).

  3. (3)

    If the information technology systems used by the FCA fail and online submission is unavailable for 24 hours or more, SUP 10C.15.14R applies until such time as facilities for online submission are restored.

SUP 10C.15.12G

If the information technology systems used by the FCA fail and online submission is unavailable for 24 hours or more, the FCA and PRA will endeavour to publish a notice on their websites confirming that:

  1. (1)

    online submission is unavailable; and

  2. (2)

    the alternative methods of submission in SUP 10C.15.14R applies.

SUP 10C.15.13G

Where SUP 10C.15.11R(3) applies to a firm, GEN 1.3.2R (Emergency) does not apply.

Method of submission: other forms of submission

SUP 10C.15.14R
  1. (1)

    An application or submission by a firm made under this rule must be made in the way set out in SUP 15.7.4R to SUP 15.7.9G (Form and method of notification).

  2. (2)

    A firm must use the version of the form or document found in the applicable Annex to this chapter or to SUP 10A (which are listed in SUP 10C.15.3G).