SUP - Forms
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Application form for a direction under section 101(8) of the CCA
Chapter: SUP 8A Annex 2
Effective Date: 1st April 2014
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Application form for a direction under section 60(3) of the CCA
Chapter: SUP 8A Annex 1
Effective Date: 27th August 2014
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Short Form A – UK Relevant Authorised Persons and Third Country Relevant Authorised Persons only
Chapter: 10C Annex 2
Effective Date: 8th December 2017
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Short Form A – EEA Relevant Authorised Persons Only
Chapter: 10C Annex 2
Effective Date: 8th December 2017
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UCITS management companies reporting forms and requirements applying to their completion
Chapter: SUP 16 Annex 16
Effective Date: 6th April 2007
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Variation of Permission (VOP) Application Consumer Credit Activities
Chapter: SUP 6 Annex 5
Effective Date: 1st November 2004
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Consolidated supervision return for investment firms
Chapter: SUP 16 Annex 22
Effective Date: 1st April 2009
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Notes for completion: Variation of Permission (VOP) Application Consumer Credit Activities
Chapter: SUP 6 Annex 5
Effective Date: 1st November 2004
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Short Form A – UK and Overseas Firms (not Incoming EEA)
Chapter: SUP 10A Annex 4D
Effective Date: 12th January 2016
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Form G Retail Investment Advisor Complaints Notification Form
Chapter: 15 Annex 8
Effective Date: 4th March 2016
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Short Form A - Incoming EEA Only Application to perform controlled functions under the approved persons regime
Chapter: SUP10A Annex 4D
Effective Date: 12th January 2016
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Information form in support of an application for a direction under section 101(8) of the CCA
Chapter: SUP 8A Annex 3
Effective Date: 1st April 2014