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SUP 13.8 Changes of details: provision of notices to the 14appropriate UK regulator14

SUP 13.8.1R
  1. (1)

    Where a firm is required to submit a4 notice of a change to a branch referred to in 2 SUP 13.6.5 G (1), SUP 13.6.5BG (1), 2SUP 13.6.7 G (1), SUP 13.6.8 G2, SUP 13.6.9B R3,10SUP 13.6.9CG, SUP 13.6.9DG and SUP 13.6.10G(1),12 or4 a notice of a change to cross border services referred to in2 SUP 13.7.3 G (1), SUP 13.7.3AG (1), 2SUP 13.7.5 G (1),12 SUP 13.7.6 G2, SUP 13.7.13B G6,10 SUP 13.7.14 G7 and SUP 13.7.15 G,10 it must complete and submit that notice in accordance with the procedures set out in SUP 13.5 for notifying the establishing of a branch or the provision of cross border services.4

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    1. (a)

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    2. (b)

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  2. (2)

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    1. (a)

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    2. (b)

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    3. (c)

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    4. (d)

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    5. (e)

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    6. (f)

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  3. (3)

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  4. (4)

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SUP 13.8.1AG

4The effect of SUP 13.8.1 R (1) is that a firm should submit any form, notice or application under SUP 13.8.1 R (1) in the following ways:

  1. (1)

    A UK firm, other than a credit union, should submit it online at www.fca.org.uk14 using the online notification and application system13.

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  2. (2)

    If the information technology systems fail and online submission is unavailable for 24 hours or more, until such time as facilities for online submission are restored, a firm should submit it in the way set out in SUP 13.5.3 R (3) and SUP 15.7.4 R to SUP 15.7.9 G (Form and method of notification). GEN 1.3.2 R (Emergency) does not apply in these circumstances.

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  3. (3)

    If the information technology systems fail and online submission is unavailable for 24 hours or more, the appropriate UK regulator14 will endeavour to publish a notice on its website confirming that online submission is unavailable and that the alternative methods of submission should be used.

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  4. (4)

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SUP 13.8.2G

UK firms11 passporting under the CRD11 5 may be required to submit the change to details notice2 in the language of the Host State as well as in English.

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