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FCA Handbook
SUP
SUP 15
SUP 15 Annex 1 Application of SUP 15 to incoming E...

SUP 15 Annex 1 1 9Application of SUP 15 to incoming EEA firms and incoming Treaty firms9

R01/08/2015

1 .	SUP 15 applies in full to an incoming EEA firm, or incoming Treaty firm , which has a top-up permission.
2 .	[deleted]14 14
52A	[deleted]14 14
3 .	For any other incoming EEA firm or incoming Treaty firm, SUP 15 applies as set out in the following table.

Applicable sections		Application
SUP 15.1, SUP 15.2	Application, Purpose	Apply in full
SUP 15.3.1 R to SUP 15.3.6 G	Matters having a serious regulatory impact	Apply in so far as responsibility for the matter in question is not reserved by an EU instrument to the firm's Home State regulator 8 8
SUP 15.3.7 G to SUP 15.3.10 G	Communication with the appropriate regulator in accordance with Principle 1114 14	Apply in so far as responsibility for the matter in question is not reserved by an EU 4 instrument to the firm's Home State regulator 4
8SUP 15.3.11 R8 to SUP 15.3.14 G	Breaches of rules and other requirements in or under the Act	Apply in full
8SUP 15.3.15 R8 to SUP 15.3.16 G	Civil, criminal or disciplinary proceedings against a firm	Apply in so far as responsibility for the matter in question is not reserved by an EU 4 instrument to the firm's Home State regulator 4
88SUP 15.3.17 R to SUP 15.3.20 G	Fraud, errors and other irregularities	Apply in so far as responsibility for the matter in question is not reserved by an EU 4 instrument to the firm's Home State regulator 4
SUP 15.3.2 G	Insolvency, bankruptcy and winding up	Apply in so far as responsibility for the matter in question is not reserved by an EU 4 instrument to the firm's Home State regulator 4
SUP 15.3.32R to SUP 15.3.35G9	Competition law infringements9	Apply in so far as responsibility for the matter in question is not reserved by an EU instrument to the firm’s Home State regulator 9
SUP 15	Notified persons	Does not apply
SUP 15.5.1 R to SUP 15.5.3 G	Change in name	Apply in full
SUP 15.5.4 R	Change in address: principal place of business in the UK	Applies in full
SUP 15.5.4 R (2)	Change in address: registered office	Applies to an incoming Treaty firm . Does not apply to an incoming EEA firm, but see SUP 14 (Incoming EEA firms: changing authorisation and cancelling qualification for authorisation).
SUP 15.5.5 R to SUP 15.5.6 G	Change in telephone numbers6 6	Applies in full6 6
SUP 15.5.7 R and SUP 15.5.8 G	Other regulators	Apply in so far as responsibility for the matter in question is not reserved by an EU 4 instrument to the firm's Home State regulator 4
SUP 15.6	Inaccurate, false or misleading information	Applies in full
SUP 15.7	Form and method of notification	Applies in full
SUP 15.8	Notifications in respect of particular products and services	Applies in full2
SUP 15.103	Reporting suspicious transactions (market abuse)3	Applies in relation to activities carried on from an establishment maintained by the firm or its appointed representative in the United Kingdom. [Note: Article 7 2004/72/EC]3

SUP 15 Annex 1A01/04/2013

(1)
14SUP 15 does not apply to an incoming EEA firm which has permission for cross border services only and which does not carry on regulated activities in the United Kingdom.
(2)
SUP 15 does not apply to an EEA pure reinsurer which does not have a top-up permission.