Related provisions for SUP 10C.15.7

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SUP 10C.15.10RRP

Table: Method of submission

1Form or other document

Firms that are not credit unions

Credit unions

The relevant Form A

SUP 10C.15.11R

SUP 10C.15.11R or SUP 10C.15.14R

Form B

SUP 10C.15.14R

SUP 10C.15.14R

Form C

SUP 10C.15.11R

SUP 10C.15.11R or SUP 10C.15.14R

Form D

SUP 10C.15.11R

SUP 10C.15.11R or SUP 10C.15.14R

Form E

SUP 10C.15.11R

SUP 10C.15.11R or SUP 10C.15.14R

Form I

SUP 10C.15.11R

SUP 10C.15.11R or SUP 10C.15.14R

Form J

SUP 10C.15.11R

SUP 10C.15.11R or SUP 10C.15.14R

Relevant statement of responsibilities2

In accordance with the requirements for the form with which it is submitted

In accordance with the requirements for the form with which it is submitted

4MiFID Article 4 SMR Information Form

Submit at the same time as Form A and/or E

Not applicable

4Annex II or6 III template

Submit at the same time as Form A, C and/or E

Not applicable

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).
FEES 4.4.9DRP
3To the extent that a firm4 has provided the information required by FEES 4.4.7 D to the FCA as part of its compliance with another provision of the Handbook, it is deemed to have complied with the provisions of that direction.444
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 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

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 (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

SUP 16.15.8DRP

The table below sets out the format, reporting frequency and due date for submission in relation to regulatory returns that apply to electronic money issuers that are not credit institutions.

(1)

Type of electronic money issuer

(2)

Return

(3)

Format

(4)

Reporting Frequency

(5)

Due date (Note 4)

Authorised electronic money institution (Note 1)

EMI and SEMI Questionnaire 3

FIN0603

Annual 3 (Note 3)

30 business days

3

3

3

3

3

Small electronic money institutions (Note 2)

EMI and SEMI Questionnaire 3

FIN0603

Annual3 (Note 5)

30 business days

Total electronic money outstanding @ 31st December

FSA065

Annual (Note 5)

1 month3

3

(a) the Post Office Limited

(b) the Bank of England, the ECB and the national central banks of EEA States other than the United Kingdom

(c) Government departments and local authorities

(d) credit unions

(e) municipal banks

(f) the National Savings Bank

Average outstanding electronic money

No standard format

Annual 3 (Note 6)

30 business days

Note 1

When submitting the completed returns required, the authorised electronic money institution must use the format of the returns set out in SUP 16 Annex 30HD. Guidance notes for the completion of the return are set out in SUP 16 Annex 30IG3.

Note 2

When submitting the completed returns required, the small electronic money institution must use the format of the returns set out in SUP 16 Annex 30JD (FIN060) and SUP 16 Annex 30GD (FSA065). Guidance notes for the completion of the FIN060 return are set out in SUP 16 Annex 30KG3.

Note 3

This3 field is calculated from the authorised electronic money institution'saccounting reference date.

Note 4

The due dates for returns are the last day of the periods given in column (5) of the table above following the relevant reporting frequency period set out in column (4) of the table above.

Note 5

The reporting frequency in relation to FSA065 is calculated from 31 December each calendar year. In relation to FIN060,3 this field is calculated from the small electronic money institution'saccounting reference date.

Note 6

This is calculated from 31 December each calendar year.

SYSC 22.9.5GRP
(1) SYSC 22.9.1R applies to keeping records created before the date this chapter came into force as well as ones created afterwards.(2) An SMCR firm2 does not breach the requirements of this chapter by failing to include something in a reference or by failing to have records2 because it destroyed the relevant records before the date this chapter came into force in accordance with the record keeping requirements applicable to it at the time of destruction.(3) (1) also applies to