Related provisions for SUP 10A.12.3

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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

SUP 10C Annex 3D7

311

Application to perform controlled functions under the approved persons regime

SUP 10A.13.3 D

Form B

SUP 10C Annex 4R5

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

SUP 10A.13.19 R

Form C

SUP 10C Annex 5R5

Notice of ceasing to perform controlled functions

SUP 10A.14.8 R

Form D

SUP 10C Annex 6R5

Notification of changes in personal information or application details

SUP 10A.14.15 R

Form E

SUP 10C Annex 7D7

113

Internal transfer of an approved person

SUP 10A.14.4 D

7

5556

7

5
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 Supervision Hub8. To contact the FCA's2 Supervision Hub8 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:Supervision Hub8The Financial Conduct Authority12 Endeavour Square4London4E20 1JN.4
SUP 12.7.1RRP
(1) 6This rule applies to a firm which intends to appoint:6636(a) an appointed representative to carry on insurance distribution activities15; or1346611(b) a tied agent; or1166(c) an appointed representative to carry on MCD credit intermediation activity.11; or13(d) a MiFID optional exemption appointed representative; or13(e) a structured deposit appointed representative.134(2) This rule also applies to a firm which has appointed an appointed representative.63(3) A firm in (1)
SUP 12.7.1ARRP
(1) A firm16 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 via16 online 9submission16 at the FCA’s website at16http://www.fca.org.uk or any of the methods set out in SUP 15.7.4R to SUP 15.7.5AR (Method of notification)16.1010(2) A credit union or a firm which intends to appoint, or has appointed, an appointed representative
SUP 12.7.7RRP
(1) If:434(a) (i) the scope of appointment of an appointed representative is extended to cover insurance distribution activities15 for the first time; and42(ii) the appointed representative is not included on the Financial Services Register as carrying on insurance distribution activities15 in another capacity; or42(b) the scope of appointment of an appointed representative ceases to include insurance distribution activity15;42the appointed representative's principal must give
SUP 12.7.8RRP
(1) As soon as a firm has reasonable grounds to believe that any of the conditions in SUP 12.4.2 R,SUP 12.4.6 R,11SUP 12.4.8A R4, SUP 12.4.10A R or SUP 12.4.10B R11 (as applicable) are not satisfied, or are likely not to be satisfied, in relation to any of its appointed representatives, it must complete and submit to the FCA the form in SUP 12 Annex 4 R (Appointed representative notification form), in accordance with the instructions on the form.3(2) In its notification under
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'sonline notification and application system12.91010(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
SUP 10A.16.1DRP
(1) This direction applies to an application under Form A or Form E.(2) An5 application 4must be made by submitting the Form in accordance with the requirements in SUP 10C.15 (Forms and other documents and how to submit them to the FCA) about the submission of those Forms6. 11322(2A) [deleted]51(3) [deleted]4(4) [deleted]6(5) [deleted]64
SUP 10A.16.2RRP
(1) This rule applies to a notification under Form B,6 Form C or Form D.(2) A notification must be made in accordance with the requirements in SUP 10C.15 (Forms and other documents and how to submit them to the FCA) about the submission of those Forms6.4(3) [deleted]64
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.
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 website3; and(b)
MAR 10.4.8DRP
(1) 1This direction applies to:(a) a MiFID investment firm3; 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
[deleted]3
SUP 12.9.5RRP
2If a MiFID investment firm5 appoints an FCA registered tied agent5 this section applies to that firm as though the FCA registered tied agent5 were an appointed representative.
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 16.22.2GRP
The purpose of this section is to give directions to payment service providers under regulation 29 (Reporting requirements) of the Payment Accounts Regulations about:(1) the information concerning their compliance with the requirements imposed on them under Part 3 (Switching) and Part 4 (Access to payment accounts) of the Payment Accounts Regulations; and (2) the time at which and the form in which they must provide that information.
SUP 16.22.5DRP
The payment accounts report required by SUP 16.22.3D and SUP 16.22.4R must be submitted:(1) by electronic means made available by the FCA;2(2) in the format set out in SUP 16 Annex 41AD; notes for the completion of the report are set out in SUP 16 Annex 41BG; and(3) within two months of the end of the relevant reporting period.
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 must3also 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
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,
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 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 2authorised persons) must be made by using Form I (SUP 10C Annex 8D)2.
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 10C Annex 4R)2.
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.
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 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
MCOB 9.9.8RRP
If the customer wants to release further equity from the property through a home reversion plan, the firm must treat this transaction as a new home reversion plan, even if the parties to the arrangement are the same.