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SUP 13.8 Changes of details: provision of notices to the 15appropriate UK regulator15

SUP 13.8.1RRP
  1. (1)

    A firm must complete and submit the following notices in accordance with the procedures in SUP 13.5 for notifying the establishment of a branch or the provision of cross border services:14

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    1. (a)

      a notice of a change to a branch or a tied agent referred to in SUP 13.6.5G(1), SUP 13.6.5BG(1), SUP 13.6.5DG, SUP 13.6.5EG, SUP 13.6.5FG, SUP 13.6.7G(1), SUP 13.6.8G, SUP 13.6.9BR, SUP 13.6.9CG, 13.6.9DG and SUP 13.6.10G(1); or14

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    2. (b)

      a notice of change to cross border services referred to in SUP 13.7.3G(1), SUP 13.7.3AG(1), SUP 13.7.3DG, SUP 13.7.3EG, SUP 13.7.3GR, SUP 13.7.5G(1), SUP 13.7.6G, SUP 13.7.13BG, SUP 13.7.14G and SUP 13.7.15G.14

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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 13.8.1AGRP

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.uk15 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 regulator15 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 13.8.2GRP

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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