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SUP 15.5 Core information requirements

Change in name

SUP 15.5.1RRP

A firm must give the FSA reasonable advance notice of a change in:

  1. (1)

    the firm's name (which is the registered name if the firm is a body corporate);

  2. (2)

    any business name under which the firm carries on a regulated activity or ancillary activity either from an establishment in the United Kingdom or with or for clients in the United Kingdom.

SUP 15.5.2GRP

A notification under SUP 15.5.1 R should include the details of the proposed new name and the date on which the firm intends to implement the change of name.

SUP 15.5.3GRP

Firms are reminded that certain name changes (for example, to include 'Limited') may also require a notification under SUP 15.5.5 R.

Change in address

SUP 15.5.4RRP

A firm must give the FSA reasonable advance notice of a change in any of the following addresses, and give details of the new address and the date of the change:

  1. (1)

    the firm's principal place of business in the United Kingdom;

  2. (2)

    in the case of an overseas firm, its registered office (or head office) address.

Change in legal status

SUP 15.5.5RRP

A firm must give the FSA reasonable advance notice of a proposed change in its legal status which limits the liability of any of its members or partners.

SUP 15.5.6GRP

For the purpose of SUP 15.5.5 R, limiting liability includes:

  1. (1)

    re-registration as a limited liability company of a company incorporated with unlimited liability; and

  2. (2)

    a general partner in a firm becoming a limited partner.

Other regulators

SUP 15.5.7RRP

A firm must notify the FSA immediately if it becomes subject to or ceases to be subject to the supervision of any overseas regulator (including a Home State regulator).

SUP 15.5.8GRP

The FSA's approach to the supervision of a firm is influenced by the regulatory regime and any legislative or foreign provisions to which that firm, including its branches, is subject.