Related provisions for SUP 10A.14.18

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SUP 13.7.3GRP
If a UK firm is passporting under the UCITS Directive, regulation 12(1) states that the UK firm must not make a change in its programme of operations, or the activities to be carried on under its EEA right, unless the relevant requirements in regulation 12(2) have been complied with. These requirements are:5(1) the UK firm has given a notice to the FCA15 and to the Host State regulator stating the details of the proposed change; or15(2) if the change arises as a result of circumstances
SUP 13.7.3DGRP
(1) 13If any of the details in an investment services and activities passport notification change, a UK MiFID investment firm is required to notify the FCA by completing the form in Annex I of MiFID ITS 4A.[Note: article 7(1) of MiFID ITS 4A](2) When communicating a change to investment services and/or activities, ancillary services or financial instruments, the firm is required to list all: (a) the investment services and/or activities and ancillary services that it currently
SUP 13.7.3EGRP
13If any of the details in the notification for the provision of arrangements to facilitate access to an MTF or an OTF change, the investment firm operating the MTF or the OTF is required to notify the FCA by completing the form in Annex IV of MiFID ITS 4A. [Note: article 11(1) of MiFID ITS 4A]
SUP 13.7.3FGRP
(1) 13Each of the forms in MiFID ITS 4A referred to in SUP 13.7.3DG and SUP 13.7.3EG is replicated in SUP 13 Annex 2R. (2) These versions should be used for the purposes of notifications to the FCA. (3) The forms should be submitted in accordance with SUP 13.8.1R.
SUP 13.7.6AGRP
5For further details on giving the notices to the appropriate UK regulator, as described in SUP 13.7.3 G (1), SUP 13.7.3AG and SUP 13.7.3BG12, UK firms may wish to use the standard electronic15 form available from the FCA and PRA authorisation teams 15(see SUP 13.12 (Sources of further information)).15151551515
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'sonline notification and application system3 or the form in SUP 10A Annex 4D (See Note)

11

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'sonline notification and application system3 system or the form in SUP 10A Annex 8D (See Note)

11

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"

SUP 10A.12.3GRP
A summary of the forms and their purposes is in SUP 10A Annex 2.
SUP 10A.12.6GRP
Copies of Forms A, B, C, D and E may be obtained from the FCA website. Credit unions can obtain copies from the FCA's Contact Centre. To contact the FCA's2 Contact Centre for approved persons enquiries:22(1) telephone 0300 500 0597;2or2(2) e-mail firm.queries@fca.org.uk; or(3) fax 020 7066 0017; or(4) write to:Customer Contact CentreThe Financial Conduct Authority12 Endeavour Square4London4E20 1JN.4
SUP 21.1.3GRP
Accordingly, the FCA must be satisfied that the statutory criteria will be met in each case where an energy market participant applies for a waiver in the form in SUP 21 Annex 1.
SUP 21.1.4GRP
In particular, clause 4 of the form of waiver in SUP 21 Annex 1 will not ordinarily be inserted in waivers for energy market participants that will not, at the time the waiver will take effect, clearly satisfy the conditions set out in that clause. For these purposes the FCA will take into account the relative proportions of the energy market participant's assets and revenues that are referable to the various parts of its business, as well as to any other factor that the FCA considers
RCB 3.4.1DRP
The issuer must inform the FCA of the information relating to bond issuances from a regulated covered bond in the form set out in RCB 3 Annex 4 D (indicative terms form) at least 3 business days1 before the date of issuance.1
RCB 3.4.2DRP
1On the date of issuance, the issuer must send to the FCA:(1) the information in the form set out in RCB 3 Annex 5 D (issuance form);(2) the information in the form set out in RCB 3 Annex 3 D (asset and liability profile form); and(3) the final terms of the regulated covered bonds or equivalent issuance documents setting out the terms of the regulated covered bonds and signed copies of swap documents.
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.
MAR 10.4.5DRP
(1) 1This direction applies to:(a) a UK firm operating a multilateral trading facility or an OTF; and (b) a UK branch of a third country investment firm operating a multilateral trading facility or an OTF.(2) A firm shall report to the FCA: (a) (where it meets the minimum threshold as specified in article 83 of the MiFID Org Regulation) the weekly report referred to in MAR 10.4.3R(2), by using the form set out in Annex I of MiFID ITS 4, and publish it on its website and provide
MAR 10.4.8DRP
(1) 1This direction applies to:(a) a UK MiFID investment firm; and (b) a UK branch of a third country investment firm. (2) An investment firm in (1) trading in a commodity derivative or emission allowance outside a trading venue must, where the FCA is the competent authority of the trading venue where that commodity derivative or emission allowance is traded, provide the FCA with a report containing a complete breakdown of:(a) their positions taken in those commodity derivatives
MAR 10.4.9DRP
(1) 1This direction applies to: (a) a UK MiFID investment firm; and (b) a UK branch of a third country investment firm. (2) An investment firm in (1) trading in a commodity derivative or emission allowance outside a trading venue must, where an EEA competent authority other than the FCA is the competent authority of the trading venue where that commodity derivative or emission allowance is traded, or the central competent authority for the purposes of that commodity derivative,
SUP 15.7.1RRP
A notification required from a firm under any notification rule must be given in writing, and in English, and must be submitted on the form specified for that notification rule, or if no form is specified, on the form inSUP 15 Ann 4 R3 (Notification form), and must give the firm's Firm Reference Number unless:237(1) the notification rule states otherwise; or(2) the notification is provided solely in compliance with Principle 11 (see SUP 15.3.7 G).
SUP 15.7.4RRP
Unless stated in the notification rule, or on the relevant form (if specified), a written notification required from a firm under any notification rule must be:2(1) given to or addressed for the attention of the firm's usual supervisory contact at the FCA4 and77(2) delivered to the FCA4 by one of the methods in SUP 15.7.5AR6.777
SUP 10A.13.6GRP

Outsourcing arrangements

Outsourcing arrangements

Submitting form

Firm A to firm B

The FCA will consider A to have taken reasonable care if it enters into a contract with B under which B is responsible for ensuring that the relevant FCA controlled functions are performed by FCA-approved persons, and that it is reasonable for A to rely on this

Firm B submits FCA-approved persons forms on behalf of firm A

Outsourcing by A to B (both being a member of the same United Kingdom group and each having its registered office in the United Kingdom)

See SUP 10A.3.4 G

See SUP 15.7.8 G

(i) A to B, where B is a non-authorised person not part of the same group as A

(ii) A to B, where A is a branch of an overseas firm in the United Kingdom, and B is an overseas undertaking of the same group

(iii) A to B, where A is a UK authorised subsidiary of an overseas firm and B is an overseas undertaking of the same group

Responsibility for (as opposed to the performance of) any activity outsourced to B will remain with A. See SYSC 3.2.4 G and SYSC 8

A ensures that an individual approved by the FCA or the PRA under a controlled function that is a significant-influence function has responsibility for the outsourced arrangement and A submits a form in relation to that individual

SUP 10A.13.19RRP
A firm notifying the FCA of its withdrawal of 1an application for approval must notify the FCA, using Form B, in the form set out in SUP 10A Annex 5R.
LR 9.3.6RRP
A listedcompany must ensure that, in addition to its obligations under the Companies Act 2006,3 a proxy form:(1) [deleted]33(2) provides for at least three3-way voting on all resolutions intended to be proposed (except that it is not necessary to provide proxy forms with three3-way voting on procedural resolutions); and333(3) [deleted]33(4) states that if it is returned without an indication as to how the proxy shall vote on any particular matter, the proxy will exercise his discretion
LR 9.3.7RRP
If3 the resolutions to be proposed include the re-election of retiring directors and the number of retiring directors standing for re-election exceeds five, the proxy form may give3 shareholders the opportunity to vote for or against (or abstain from voting on) 3the re-election of the retiring directors as a whole but must3 also allow votes to be cast for or against (or for shareholders to abstain from voting on) 3the re-election of the retiring directors individually.333
RCB 2.2.1DRP
The issuer must apply for registration using the form at RCB 2 Annex 1D (application for registration).
RCB 2.2.2GRP
RCB 3.6.5 D sets out the methods the issuer may use to send the form to the FCA.
SUP 13.5.2RRP
A UK firm wishing to provide cross border services into a particular EEA State for the first time under an EEA right other than under the auction regulation7 must submit a notice in the form set out in:535(1) SUP 13 Annex 2 R5if the UK firm is passporting under 3MiFID;5 or5133(2) SUP 13 Annex 4 R5if the UK firm is passporting under the 8CRD; or585(3) SUP 13 Annex 5 R5if the UK firm is passporting under the Insurance Mediation Directive5(4) SUP 13 Annex 6 R, if the UK firm is a
SUP 13.5.3RRP
(1) A UK firm, other than a credit union, must submit any notice under SUP 13.5.1R16 or SUP 13.5.2 R online at www.fca.org.uk18 using the online notification and application system15. 18181010535(a) 5[deleted]5(b) 5[deleted]5(2) [deleted]1851835(a) [deleted]55(b) [deleted]55(c) 5[deleted]53(d) 5[deleted]53(e) 5[deleted]5333(f) 5[deleted]5(3) Where a firm is obliged to submit a notice in accordance with (1), if the information technology systems fail and online submission is unavailable
SUP 16.6.4RRP
A bank must submit compliance reports to the FCA.124981313
SUP 16.6.11RRP
(1) 10A depositary must submit its breach report under SUP 16.6.8R(1A) using the form REP011 in SUP 16 Annex 12AR.(2) A depositary must submit its oversight report under SUP 16.6.8R(1B) using the form REP012 in SUP 16 Annex 12AR.(3) A depositary must submit the forms in SUP 16 Annex 12AR:(a) online through the appropriate systems accessible from the FCA’s website; or (b) if the appropriate systems are unavailable, via email to fundsupervision@fca.org.uk.
SUP 10A.16.1DRP
(1) This direction applies to an application under Form A or Form E.(2) Subject to (2A), an1 application by a firm other than a credit union must be made by submitting the Form online at fca.org.uk using the form specified on the FCA's and PRA'sonline notification and application system3. 122(2A) An application by a firm whose application for permission or whose Part 4A permission covers only credit-related regulated activities must be made using the form in SUP 10A Annex 4 or
SUP 10A.16.2RRP
(1) This rule applies to a notification under Form C or Form D.(2) A notification must be made in accordance with SUP 10A.16.1 D, except that the annexes to SUP 10A in which the forms are to be found are SUP 10A Annex 6R or SUP 10A Annex 7, rather than the Annexes mentioned in SUP 10A.16.1 D.
MAR 5.10.7RRP
An MTF registered as an SME growth market may be deregistered by the FCA in the following cases:(1) the firm operating the market applies for its deregistration; or(2) the requirements in MAR 5.10.2R are (subject to MAR 5.10.3G(1)) no longer complied with.[Note: article 33(5) of MiFID and article 79 of the MiFID Org Regulation]
SUP 12.8.1RRP
If either the firm or the appointed representative notifies the other that it proposes to terminate the contract of appointment or to amend it so that it no longer meets the requirements contained or referred to in SUP 12.5 (Contracts: required terms), the firm must:2(1) complete and submit to the FCA the form in SUP 12 Annex 5 R (Appointed representative termination form) in accordance with the instructions on the form and no more than ten business days after the date of the
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'sonline notification and application system8.5566(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 15.2.1AGRP
7Payment service providers are required to provide the FCA with such information as the FCA may direct in respect of their provision of payment services or compliance with the requirements imposed by or under Parts 2 to 7 or regulation 105 of the Payment Services Regulations. The purpose of SUP 15.8 is to request information from full credit institutions where they provide (or propose to provide) account information services or payment initiation services. In addition to this
SUP 15.2.2GRP
This chapter sets out:(1) guidance on the type of event or change in condition which a firm should consider notifying in accordance with Principle 11; the purpose of this guidance is to set out examples and not to give comprehensive advice to firms on what they should notify in order to be in compliance with Principle 11;(2) rules on events and changes in condition that a firm must notify; these are the types of event that the FCA2 must be informed about, usually as soon as possible,
CASS 11.13.14RRP
Any interest earned on client money following a primary or secondary pooling event will be due to clients in accordance with CASS 11.9.11 R (Interest).
SUP 10C.13.6DRP
An application by a firm to the FCA under section 63ZA of the Act (Variation of senior manager's approval at request of relevant authorised persons) must be made by using Form I (SUP 10C Annex4D).
SUP 10C.13.15RRP
A firm notifying the FCA of its withdrawal of an application for variation of an approval must use Form B (SUP 10A Annex 5R).