Related provisions for REC 6.7.11
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 |
|
Form B |
Notice to withdraw an application to perform controlled functions under the approved persons regime |
||
Form C |
Notice of ceasing to perform controlled functions |
||
Form D |
Notification of changes in personal information or application details |
||
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 |
|
Note (1)5: The form in the SUP annex shown is to be used by a firm whose Part 4A permission covers only credit-related regulated activities5, 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".5 |
|||
Note (2): Where SUP 10A.1.16BR (appointed representative of an SMCR firm) applies, the version of the form to be used is the one required by SUP 10C (FCA senior managers regime for approved persons in SMCR firms). 5 |
Table of rules in FEES 4 that also apply in FEES 10.
FEES 4 incorporated into FEES 10 |
Description |
Modifications |
Method of payment |
none |
|
Modifications for persons becoming subject to periodic fees during the course of a fee year |
none |
|
Calculating the fee in the firm’s first year of authorisation |
none |
|
Calculating fees in the second fee-year where the firm received permission between 1 January and 31 March in its first fee year |
none |
|
Calculating all other fees in the second and subsequent years of authorisation where a full year of tariff data is not available |
none |
|
How FEES 4.2.7 R applies to an incoming EEA firm or an incoming Treaty firm |
none |
|
Fee payers ceasing to hold relevant status or reducing the scope of their permission after start of relevant period |
Reference to column (1) of the table in FEES 4.2.11 R is a reference to FEES 10.1.2 G |
|
Groups of firms |
Reference to FEES 4.2.1 R is a reference to FEES 10.2.1 R. |
|
Firms applying to cancel or vary permission before start of period |
Reference toFEES 4.2.1 R is a reference to FEES 10.2.1 R. |
|
Reference to FEES 4.2.7ER to FEES 4.2.7KR2 is a reference to FEES 10.2.5 R Reference to FEES 4.2.1 R is a reference to FEES 10.2.1 R |
||
Information on which fees are calculated |
none |
Table: Provisions of the Takeover Code conformity with which will be unlikely to3, of itself, amount to market abuse (This table belongs to MAR 1.10.4G3):
11Takeover Code provisions: |
|
Disclosure of information which is not generally available |
1(a) 2.1 , 52.7, 52.11, 8 20.1 521.3, 21.4 528.1 530.1, 30.5 555555 |
Standards of care |
2.8 first sentence and note 4 519.1, 19.7 520.6 second sentence 523.1 plus notes 28.1 55 |
Timing of announcements, documentation and dealings |
52.2, 2.6 5.4 6.2(b) 7.1 11.1 note 6 only 17.1 521.2 note 4 only 524.1(a) 525.1(a) 531.6(d), 31.9 533 (in so far as it refers to 31.6(d) and 31.9 only) 555555 |
Content of announcements |
2.4 (a) and (b) 19.31 |
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