Related provisions for SUP 15.4.3A

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To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

SUP 15.11.14RRP
A firm must make any notifications required pursuant to2section 64C of the Act relating to a certification employee or other conduct rules staff on Form H (SUP 15 Annex 7R).
SUP 12.7.1ARRP
(1) A firm other than:99(a) a credit union; or9(b) a firm which intends to appoint , or has appointed, an appointed representative to carry on only credit-related regulated activity;9must submit the form in SUP 12 Annex 3 online 9at http://www.fca.org.uk using the FCA'sONA10system.10(2) A credit union or a firm which intends to appoint , or has appointed, an appointed representative to carry on only credit-related regulated activity9must submit the form in SUP 12 Annex 3 R in
SUP 12.7.8ARRP
(1) 8Subject to (2A), a 9firm other than a credit union must submit the form as set out in SUP 12 Annex 4 R online at http://www.fca.org.uk using the FCA'sONA10system.910(2) A credit union must submit the form in SUP 12 Annex 4 R in the way set out in SUP 15.7.4 R to SUP 15.7.9 G (Form and method of notification).(2A) If the notification:9(a) relates to an appointed representative whose scope of appointment covers only credit-related regulated activity; or9(b) is of a change to
SUP 12.7.10GRP
8If the FCA's information technology systems fail and online submission is unavailable for 24 hours or more, the FCA will endeavour to publish a notice on its website confirming that online submission is unavailable and that firms, other than credit unions, should use the alternative methods of submission set out in SUP 12.7.1AR (3) and SUP 12.7.8AR (3) (as appropriate), and SUP 15.7.4 R to SUP 15.7.9 G, addressingclearly marking applications for the attention of the Individuals
SUP 15.5.9RRP
(1) 2A firm other than:55(a) a credit union; or5(b) an FCA-authorised person with permission to carry on only credit-related regulated activity;5must submit any notice under6SUP 15.5.1R, SUP 15.5.4Rand10SUP 15.5.5 R3 by submitting the form in SUP 15 Ann 3R online at the FCA's4 website.101010(2) A credit union or an FCA-authorised person with permission to carry on only credit-related regulated activity (other than a firm with only an interim permission to which the modifications
SUP 15.5.10GRP
(1) If the FCA's4 information technology systems fail and online submission is unavailable for 24 hours or more, the FCA4 will endeavour to publish a notice on its website confirming that online submission is unavailable and that the alternative methods of submission set out in SUP 15.5.9R(3) and SUP 15.7.4R to SUP 15.7.9G (Form and method of notification) should be used.10101010(2) Where 10SUP 15.5.9R (2)10 applies to a firm, GEN 1.3.2 R (Emergency) does not apply.
SUP 10C.15.11RRP
(1) An application or submission by a firm made under this rule must be made by submitting the form or document online at fca.org.uk using the FCA's and PRA's Connect system.(2) A firm must use the version of the form or document made available on the electronic system referred to in (1), which is based on the version found in the applicable Annex to this chapter or to SUP 10A (which are listed in SUP 10C.15.3G).(3) If the information technology systems used by the FCA fail and
SUP 10C.15.12GRP
If the information technology systems used by the FCA fail and online submission is unavailable for 24 hours or more, the FCA and PRA will endeavour to publish a notice on their websites confirming that:(1) online submission is unavailable; and(2) the alternative methods of submission in SUP 10C.15.14R applies.
SUP 12.8.1ARRP
(1) 4Subject to (2A), a5firm other than a credit union must submit any notification under SUP 12.8.1 R (1) in the form set out in SUP 12 Annex 5 R, online at www.fca.org.uk5 using the FCA'sONA6system.556(2) A credit union must submit any notification under SUP 12.8.1 R (1) in the form set out in SUP 12 Annex 5 R and in the way set out in SUP 15.7.4 R to SUP 15.7.9 G (Form and method of notification).(2A) A firm must submit any notification under SUP 12.8.1 R (1) that relates to
SUP 12.8.1BGRP
4If the FCA's information technology systems fail and online submission is unavailable for 24 hours or more, the FCA will endeavour to publish a notice on its website confirming that online submission is unavailable and that the alternative methods of submission set out in SUP 12.8.1AR(3) and SUP 15.7.4 R to SUP 15.7.9 G (Form and method of notification) should be used.
SUP 6.3.15DRP
(1) Subject to (1A), a17firm other than a credit union wishing to make an application under SUP 6 must apply online using the form specified on the ONA18system.14141727272718(1A) A firm wishing to make an application under SUP 6 which covers only credit-related regulated activities must submit any form, notice or application by using the form in SUP 6 Annex 5 and submitting it in the way set out in SUP 15.7.4 R to SUP 15.7.9 G (Form and method of notification).17(2) [deleted]271427(3)
SUP 15.4.3GRP
(1) A firm other than a credit union must submit the form in SUP 15 Ann 2 R online 8 using the FCA's4ONA5system.28885(2) A credit union must submit the form in SUP 15 Ann 2 R in the way set out in SUP 15.7.4 R to SUP 15.7.9 G (Form and method of notification).2(3) Where a firm is obliged to submit an application online under (1), if the FCA's4 information technology systems fail and online submission is unavailable for 24 hours or more, until such time as facilities for online
SUP 16.10.4ARRP
(1) A firm other than: 88(a) a credit union; or8(b) an FCA-authorised person with permission to carry on only credit-related regulated activity;8must submit any corrected standing data under SUP 16.10.4R (3) using the appropriate online systems available from the FCA’s website.9820202077(2) A credit union or a firm with permission to carry on only credit-related regulated activity8must submit any corrected standing data under SUP 16.10.4R (3) to static.data@fca.org.uk or via post
SUP 16.10.5GRP
The standing data is made available to the firm when the firm logs into the appropriate section of the FCA's10 website. The firm should check the standing data and send any corrections to the FCA10 . The FCA's10 preferred method of receiving corrections to standing data is by the online forms available at the FCA's10 website.22020202020202020
SUP 16.3.9RRP

Method of submission of reports (see SUP 16.3.8 R)

228

Method of delivery

1.

Post to the published address of the FCA49 for postal submission of reports

49

2.

Leaving the report marked for the attention of "Central Reporting"22 at the published address of the FCA49 for hand delivery of reports and obtaining a dated receipt

49

3.

Electronic mail or fax to the published e-mail address or fax number of the FCA's49 Central Reporting team.22

2249

4.22

Online submission via the appropriate systems accessible from the22FCA28 website

4949822
SUP 6.4.5DRP
(1) Subject to (1A), a 11firm other than a credit union wishing to cancel its Part 4A permission, must apply online at the appropriate regulator website using the form specified on the ONA12 system.99112412(1A) An FCA-authorised person wishing to cancel its Part 4A permission which covers only credit-related regulated activities must submit any form, notice or application by using the form in SUP 6 Annex 6 and submitting it in the way set out in SUP 15.7.4 R to SUP 15.7.9 G
SUP 11.9.3BARRP
4The notification under SUP 11.9.1AR (1)(a) must be made electronically by completing the Close Links Monthly Report and submitting it through the relevant platform provided by the FCA.
SUP 16.19.3DRP
A firm must report its compliance in the form specified in SUP 16 Annex 1AR using the appropriate online systems accessible from the FCA's website.
SUP 12.9.5RRP
2If a UK MiFID investment firm appoints an EEA tied agent this section applies to that firm as though the EEA tied agent were an appointed representative.
SUP 16.17.2ARRP
5Firms must submit the reports required by SUP 16.17.3 R and SUP 16.17.4 R online through the appropriate systems accessible from the FCA’s website.
SUP 16.8.3BRRP
9Firms required to submit reports as set out in SUP 16.8.3 R (1) and SUP 16.8.3 R (2) must do so online through the appropriate systems accessible from the FCA's website.
SUP 16.11.10GRP
A data report will have been provided to the FCA17 in accordance with SUP 16.11.9 R only if all mandatory data reporting fields (as set out in SUP 16 Annex 21R) have been completed correctly and the report has been accepted by the relevant FCA17 reporting system.1717
SUP 16.7A.2GRP
The purpose of this section is to require firms to submit their annual report and accounts, and the annual report and accounts of their mixed activity holding companies, to the FCA online through the appropriate systems accessible from the FCA's website. This information is used in the monitoring of firms both individually and collectively.
SUP 16.6.4RRP
A bank must submit compliance reports to the FCA8 in accordance with SUP 16.6.5 R.41313
SUP 16.20.6RRP
2A firm must submit its recovery plan and the information required for its resolution plan to the FCA online through the appropriate systems accessible from the FCA’s website, using the forms specified in SUP 16 Annex 40R.
SUP 10A.12.2GRP

Table: FCA-approved persons forms

Form

Purpose

Handbook requirement

the relevant Form A

The relevant online form on the FCA and PRA'sONA1system or the form in SUP 10A Annex 4D (See Note)

1

Application to perform controlled functions under the approved persons regime

SUP 10A.13.3 D

Form B

SUP 10A Annex 5R

Notice to withdraw an application to perform controlled functions under the approved persons regime

SUP 10A.13.19 R

Form C

SUP 10A Annex 6R

Notice of ceasing to perform controlled functions

SUP 10A.14.8 R

Form D

SUP 10A Annex 7R

Notification of changes in personal information or application details

SUP 10A.14.15 R

Form E

The relevant online form on the FCA and PRA'sONA1system or the form in SUP 10A Annex 8D (See Note)

1

Internal transfer of an approved person

SUP 10A.14.4 D

Note: The form in the SUP annex shown is to be used by credit unions, and by other firms only in the event of a failure of the information technology systems used by the FCA. See the relevant "Handbook requirement"