Related provisions for SUP 10A.14.14

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SUP 10C.10.38GRP
SUP 10C.15 (Forms and other documents and how to submit them to the FCA) explains how a notice of withdrawal should be submitted.
SUP 10A.17.2GRP
If the firm or its advisers have further questions, they should contact the FCA's Contact Centre (see SUP 10A.12.6 G).
SUP 6.3.8GRP
(1) Where a firm is submitting an application for variation of Part 4A permission24 which would lead to a change in the controlled functions of its approved persons, it should, at the same time and as appropriate:24(a) make an application for an internal transfer of an approved person, Form E (Internal transfer), or make an application for an individual to perform additional controlled functions, the relevant11 Form A (Application); see:202424(i) SUP 10A.13.3D to SUP 10A.13.5G
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 forms specified on the online notification and application system21. 1417242424181814(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
SUP 6.3.16GRP
(1) Section 55(U)(2)24 of the Act (Applications under this Part) requires that the application for variation of Part 4A permission24 must contain a statement:2424(a) of the desired variation; and(b) of the regulated activity or regulated activities which the firm proposes to carry on if its permission is varied.(1A) Section 55(U)(3) of the Act requires that an application for variation of a requirement imposed under section 55L or 55M or the imposition of a new requirement must
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.
SUP 10C.11.11GRP
(1) See SUP 10C.13 (Variation of conditional and time-limited approvals) for more details about applications to vary an approval.(2) SUP 10C.15 (Forms and other documents and how to submit them to the FCA) explains how applications to vary an approval should be submitted.(3) See the table in SUP 10C.11.19G for examples of how the requirements of this section about submitting statements of responsibilities with applications to vary an approval apply in different situations.
SUP 10C.11.19GRP
Table: examples of how the requirements for submitting statements of responsibilities work1ExampleComments(1) A firm applies for approval for A to perform the executive director function and the money laundering function.There should be a single statement of responsibilities document that covers the two functions.The combined document should be included with the application for approval.(2) Firm X applies for approval for A to perform the executive director function. Firm Y applies
SUP 10C.15.3GRP
Table: FCA approved persons forms and other documents1Form or other documentPurposeHandbook requirementthe relevant Form ASUP 10C Annex 2DApplication to perform designated senior management functions under the approved persons regimeSUP 10C.10.8DForm BSUP 10A Annex 5RNotice to withdraw an application to perform controlled functions under the approved persons regimeSUP 10C.10.36RNotice to withdraw an application to vary an approval under the senior management regime for SMF managersSUP
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.15.14RRP
(1) An application or submission by a firm made under this rule must be made in the way set out in SUP 15.7.4R to SUP 15.7.9G (Form and method of notification).(2) A firm must use the version of the form or document found in the applicable Annex to this chapter or to SUP 10A (which are listed in SUP 10C.15.3G).
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.14.12GRP
Sending forms promptly will help to ensure that any fresh application can be processed within the standard response times.
SUP 10C.14.24GRP
Table: Explanation of the sections of the Act mentioned in SUP 10C.12.22G1SectionSummary of relevant partsOther Handbook materialCommentsSection 63(2A) (Duty to notify regulator of grounds for withdrawal of approval)At least once a year, each firm must, in relation to every SMF manager for whom an approval has been given on the application of that firm:(a) consider whether there are any grounds on which the FCA could withdraw the approval; and(b) if the firm is of the opinion
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 the
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 10C.16.6GRP
Failing to disclose relevant information to the FCA may be a criminal offence under section 398 of the Act.
MAR 9.5.12GRP
Q. I intend to apply to be authorised to provide the data reporting service of an APA. May I establish connectivity requirements while my application for authorisation is being considered?A. Yes. The MIS confidentiality agreement is available on our website at www.fca.org.uk/markets/market-data-regimes/market-data-reporting-mdp together with instructions on how to obtain the Market Interface Specification (MIS) for connectivity.
SUP 10A.12.2GRP
Table: FCA-approved persons formsFormPurposeHandbook requirementthe relevant Form AThe relevant online form on the FCA and PRA'sonline notification and application system3 or the form in SUP 10A Annex 4D (See Note)11Application to perform controlled functions under the approved persons regimeSUP 10A.13.3 DForm BSUP 10A Annex 5RNotice to withdraw an application to perform controlled functions under the approved persons regimeSUP 10A.13.19 RForm C SUP 10A Annex 6RNotice of ceasing
RCB 2.3.20GRP
1Assets which would be eligible for inclusion in a liquidity buffer under BIPRU 12.7 can be liquid assets for the purposes of limb (a) of the definition of liquid assets in Regulation 1(2) of the RCB Regulations. The FCA will also expect that liquid assets which consist of deposits should be held in the same currency or currencies as the regulated covered bonds issued by the issuer.
MAR 5.7.1ADRP
4A firm that makes an application to the FCA for a waiver in accordance with articles 4 or 9 of MiFIR (in relation to pre-trade transparency for equity or non-equity instruments) must make it in the form set out in MAR 5 Annex 1D. [Note: articles 4 and 9 of MiFIR, MiFID RTS 1 and MiFID RTS 2]
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.