Index of Forms in the FCA Handbook
This table lists all the forms held in the FCA Handbook. Column 1 lists in alphabetical order by module the provision where the form is to be found and column 2 gives the form title.
| Provision | Form Title |
|---|---|
| CASS 11 Annex 1 R | CASS debt management firm client bank account acknowledgment letter template |
| COBS 6 Annex 1 | Services and costs disclosure document described in COBS 6.3.7G(1) |
| COBS 6 Annex 2 | COBS 6 Annex 2: Combined initial disclosure document described in COBS 6.3, ICOBS 4.5, MCOB 4.4.1R(1) and MCOB 4.10.2R(1) |
| COBS 6 Annex 3 | Menu described in COBS 6.3 |
| COBS 6 Annex 4 | Identifying and describing the maximum rate of commission (or equivalent), the market average and the Example |
| COBS 6 Annex 5 | Calculation of a maximum rate of commission |
| CONRED 2 Annex 1 R | Redress determination for customers outside subject matter of Arch cru consumer redress scheme |
| CONRED 2 Annex 2 R | Letter to consumers confirming existence of review and inviting request to opt-in |
| CONRED 2 Annex 3 R | First reminder letter to consumers inviting request for review |
| CONRED 2 Annex 4 R | Second reminder letter to consumers inviting request for review |
| CONRED 2 Annex 5 R | Final letter to consumers who have not sent a request for review |
| CONRED 2 Annex 6 R | Redress determination where firm considers opt-in ineffective |
| CONRED 2 Annex 7 R | Letter to consumers confirming their case will be reviewed |
| CONRED 2 Annex 8 R | Initial letter requesting information/enclosing questionnaire |
| CONRED 2 Annex 9 R | Reminder letter |
| CONRED 2 Annex 10 R | Redress determination where consumer has not provided requested information |
| CONRED 2 Annex 11 R | Redress determination letter for scheme cases |
| CONRED 2 Annex 12 R | Arch cru product advice suitability assessment template |
| CREDS 9 Annex 1 | Credit union complaints return |
| DISP 1 Annex 1 | Complaints return form |
| DISP 1 Annex 1B | Complaints publication report |
| DISP 1 Annex 1C | Illustration of the online reporting requirements |
| DTR 3.1.4 | Notification of Transactions of Directors/Persons Discharging Managerial Responsibility and Connected Persons |
| FUND 3 Annex 1 | Marketing an AIF in the United Kingdom |
| FUND 3 Annex 2 | Notice of AIFM delegation |
| GENPRU 3 Annex 3 | Classification of Groups |
| ICOBS 4 Annex 1 | Initial disclosure document |
| MCOB 2 Annex 1G | Form of joint instruction letter |
| MCOB 3 Annex 1 | Examples of qualifying credit promotions |
| MCOB 4 Annex 1 | Initial disclosure document |
| MCOB 5 Annex 1 | The mortgage illustration |
| MCOB 6 Annex 2 | Written Pre-offer Document of a regulated sale and rent back agreement |
| MCOB 6 Annex 3 | Cooling-Off Document of a regulated sale and rent back agreement |
| MCOB 8 Annex 1 | Initial disclosure document |
| MCOB 9 Annex 1 | The illustration |
| MCOB 9 Annex 2 | The illustration |
| MIPRU 4.4.9G | Example subordinated loan form for intermediaries |
| PERG 7.6.2 | Application for a certificate for a news or information service |
| RCB 2 Annex 1 | Application for the admission to the register of issuers and register of regulated covered bonds |
| RCB 3 Annex 2 | Asset pool notification form |
| RCB 3 Annex 3 | Asset and liability profile form |
| RCB 3 Annex 4 | Indicative terms form |
| RCB 3 Annex 5 | Issuance form |
| RCB 3 Annex 6 | Cancellation form |
| RCB 3 Annex 7A | Loan level disclosure form |
| RCB 3 Annex 7B | Guidance on loan level disclosure form |
| SUP 10 Annex 4 | Form A: Application to perform controlled functions under the approved person regime |
| SUP 10 Annex 5 | Form B: Notice to withdraw an application to perform controlled functions under the approved persons regime |
| SUP 10 Annex 6 | Form C: Notice of ceasing to perform controlled functions |
| SUP 10 Annex 7 | Form D: Notification of changes in personal information or application details |
| SUP 10 Annex 8 | Form E: Internal transfer of an approved person |
| SUP 10 Annex 9 | Form G: The Retail Investment Adviser Complaints Alerts Form |
| SUP 10A Annex 4 | Form A: Application to perform controlled functions under the approved person regime |
| SUP 10A Annex 4 | Short Form A Solvency II firms only |
| SUP 10A Annex 4 | Solvency II Firms: Scope of Responsibilities |
| SUP 10A Annex 5 | Form B: Notice to withdraw an application to perform controlled functions under the approved persons regime |
| SUP 10A Annex 6 | Form C: Notice of ceasing to perform controlled functions |
| SUP 10A Annex 7 | Form D: Notification of changes in personal information or application details |
| SUP 10A Annex 8 | Form E: Internal transfer of an approved person (for Solvency II firms only) |
| SUP 10A Annex 9 | Form G: The Retail Investment Adviser Complaints Alerts Form |
| SUP 10C Annex 2 | Long Form A UK Firms (Relevant Authorised Persons only) |
| SUP 10C Annex 3 | Form E Internal transfer of an approved person (for firms and individuals subject to the senior management regime) |
| SUP 10C Annex 4 | Form I Application for the Variation of a Conditional Approval for the performance of a Senior Management Function |
| SUP 10C Annex 5 | Senior Management Regime: Statement of Responsibilities |
| SUP 10C Annex 6 | Notification of Significant Changes in Responsibilities of a Senior Management Function Manager (Form J) |
| SUP 11 Annex 1 | Summary of notification requirements |
| SUP 12 Annex 3 | Appointed representative appointment form |
| SUP 12 Annex 4 | Appointed representative notification form |
| SUP 12 Annex 5 | Appointed representative termination form |
| SUP 13 Annex 1 | Passporting: Notification of intention to establish a branch in another EEA state |
| SUP 13 Annex 2 | Passporting: Markets in Financial Instruments Directive |
| SUP 13 Annex 3 | Passporting: Consolidated Life Directive and Third Non-Life Directive |
| SUP 13 Annex 4 | Passporting: Capital Requirements Directive |
| SUP 13 Annex 5 | Passporting: Insurance Mediation Directive |
| SUP 13 Annex 6 | Passporting: UCITS Directive |
| SUP 13 Annex 7 | Passporting: Emissions Trading. Notice of intention from a UK firm to exercise the right of establishment in another EEA Member State |
| SUP 13 Annex 8 | Passporting: AIFMD |
| SUP 13A Annex 4 | Passporting: Emissions Trading. Notice of intention to exercise the right of establishment in the United Kingdom |
| SUP 15 Annex 2 | Form F: Changes in notified persons |
| SUP 15 Annex 3 | Standing data form |
| SUP 15 Annex 4 | Notification form |
| SUP 15 Annex 6A | AIFMD new fund under management notification |
| SUP 15 Annex 6B | AIFMD notification of senior personnel amendments or removal form |
| SUP 15 Annex 6C | AIFMD full-scope UK AIFM material change notification |
| SUP 15 Annex 6D | AIFMD notice of sub-threshold AIFM exceeding AuM limit |
| SUP 15 Annex 6E | AIFMD small registered AIFM change form |
| SUP 15 Annex 6F | EuSEF and EuVECA management and marketing notifications |
| SUP 15 Annex 7 | Form H Notification of Conduct Rules Breaches and Disciplinary Action relating to certification employees and other conduct rules staff |
| SUP 15 Annex 8 | Form G: The Retail Investment Adviser Complaints Alerts Form |
| SUP 16 Annex 1 | Banks' reporting forms |
| SUP 16 Annex 2 | Guidance notes on form 1R |
| SUP 16 Annex 3 | Building societies' reporting forms |
| SUP 16 Annex 4 | Guidance notes on form 3R |
| SUP 16 Annex 5 | Investment Management firms' reporting forms and requirements applying to their completion |
| SUP 16 Annex 6 | Persistency report |
| SUP 16 Annex 6A | Guidance notes for completion of the FCA Persistency Report |
| SUP 16 Annex 9 | Annual questionnaire for authorised professional firms |
| SUP 16 Annex 9A | Guidance notes for completion of annual questionnaire for authorised professional firms in SUP 16 Annex 9R |
| SUP 16 Annex 10 | Securities and Futures Firms' Reporting Forms and Requirements Applying to their Completion |
| SUP 16 Annex 11 | Guidance notes on completion of securities and futures firms' reporting forms |
| SUP 16 Annex 12 | Reports from depositaries of ICVCs, AUTs and ACSs |
| SUP 16 Annex 13 | Return cover sheet |
| SUP 16 Annex 14 | Annual return (CY) for credit unions, including the supplementary analysis of the CY |
| SUP 16 Annex 14 | Quarterly return |
| SUP 16 Annex 15 | Notes on completing the Quarterly Return (CQ) for credit unions, including notes on completing the supplementary analysis of the CQ |
| SUP 16 Annex 15 | Notes on completing the Annual Return (CY) for credit unions, including notes on completing the supplementary analysis of the CY |
| SUP 16 Annex 15 | Notes on completing the Quarterly Return (CQ) for credit unions |
| SUP 16 Annex 16 | UCITS management companies reporting forms and requirements applying to their completion |
| SUP 16 Annex 16 | Consolidated Financial Resources Return for Investment Management Firms |
| SUP 16 Annex 18A | Retail Mediation Activities Return ('RMAR') |
| SUP 16 Annex 18B | Notes for Completion of the Retail Mediation Activities Return ('RMAR') |
| SUP 16 Annex 19A | Mortgage Lenders & Administrators Return ('MLAR') |
| SUP 16 Annex 19AA | Mortgage Lenders & Administrators Return ('MLAR') - sub-forms for second charge regulated mortgage activity |
| SUP 16 Annex 19B | Notes for completion of the Mortgage Lenders & Administrators Return ('MLAR') |
| SUP 16 Annex 20 | Products covered by the reporting requirement in SUP 16.11 |
| SUP 16 Annex 21 | Reporting Fields |
| SUP 16 Annex 22 | Consolidated supervision return for investment firms |
| SUP 16 Annex 23 | Consolidated supervision return for investment firms (Notes) |
| SUP 16 Annex 24 | Data items for SUP 16.12 |
| SUP 16 Annex 25 | Guidance notes for data items in SUP 16 Annex 24R |
| SUP 16 Annex 25A | Guidance notes for data items in SUP 16 Annex 24R |
| SUP 16 Annex 27A | Authorised Payment Institution Capital Adequacy Return |
| SUP 16 Annex 27B | Notes on Completing FSA056 (Authorised Payment Institution Capital Adequacy Return - SUP 16 Annex 27 AD) |
| SUP 16 Annex 28A | Small Payment Institution Return |
| SUP 16 Annex 28B | Notes on Completing FSA057 (Payment Services Directive Transactions) |
| SUP 16 Annex 29 | Client Money and Asset Return (CMAR) |
| SUP 16 Annex 29A | Guidance notes for the data item in SUP 16 Annex 29R |
| SUP 16 Annex 30A | Authorised electronic money institutions - balance sheet return |
| SUP 16 Annex 30B | Authorised electronic money institutions - income statement |
| SUP 16 Annex 30C | Authorised electronic money institutions - capital requirements return |
| SUP 16 Annex 30D | Authorised electronic money institutions - safeguarding return |
| SUP 16 Annex 30E | Authorised electronic money institutions - supplementary information |
| SUP 16 Annex 30F | Small electronic money institution return |
| SUP 16 Annex 30G | Small electronic money institutions - total outstanding electronic money return |
| SUP 16 Annex 31A | Prudent Valuation Return |
| SUP 16 Annex 31B | Guidance notes for data items in SUP 16 Annex 31AR |
| SUP 16 Annex 32 | Bidding in emissions auctions return |
| SUP 16 Annex 33A | Remuneration Benchmarking Information Report |
| SUP 16 Annex 33B | Guidance notes for data items in SUP 16 Annex 33AR |
| SUP 16 Annex 34A | High Earners Report |
| SUP 16 Annex 34B | Guidance notes for data items in SUP 16 Annex 34AR |
| SUP 16 Annex 35A | Close Links Monthly Report |
| SUP 16 Annex 35B | Guidance notes for completion of the close links monthly report in SUP 16 Annex 35AR |
| SUP 16 Annex 36A | Close Links Annual Report |
| SUP 16 Annex 36B | Guidance notes for completion of close links annual report in SUP 16 Annex 36AR |
| SUP 16 Annex 37A | Controllers Report |
| SUP 16 Annex 37B | Guidance notes for completion of controllers report in SUP 16 Annex 37AR |
| SUP 16 Annex 38A | Data Items relating to Consumer Credit activities |
| SUP 16 Annex 38B | Notes for completion of Data Items relating to Consumer Credit activities |
| SUP 16 Annex 39A | Consumer buy-to-let return |
| SUP 21 Annex 1 | Form of Waiver: Energy Market Participant |
| SUP 3 Annex 1 | Auditor's client assets report |
| SUP 6 Annex 5 | Variation of Permission Application - Insurance Business, Banking (accepting deposits), Electronic Money, Lloyd's Market and Funeral Plan Providers |
| SUP 6 Annex 5 | Variation of Permission Application - Investment Business |
| SUP 6 Annex 5 | Variation of Permission Application - Home Finance & General Insurance Mediation Activities |
| SUP 6 Annex 5 | Variation of permission application form |
| SUP 6 Annex 5 | Variation of Permission (VOP) Application Consumer Credit Activities |
| SUP 6 Annex 6 | Cancellation of permission application form |
| SUP 8 Annex 2 | Waiver Application form |
| SUP 8A Annex 1 | Application form for a direction under section 60(3) of the CCA |
| SUP 8A Annex 2 | Application form for a direction under section 101(8) of the CCA |
| SUP 8A Annex 3 | Information form in support of an application for a direction under section 101(8) of the CCA |
| SUP TP6 11.1 | Senior Management Regime: Statement of Responsibilities at grandfathering |
| SUP TP6 11.1 | Senior Management Regime: Statement of Responsibilities at grandfathering (EEA Relevant Authorised Persons only) |
| SUP TP6 11.1 | Senior Management Regime: Statement of Responsibilities at grandfathering (Third Country Relevant Authorised Persons only) |
| SUP TP6 11.1 | Grandfathering Notification Form (Form K) |
| SUP TP7 7.1 | Grandfathering Notification Form (Form K) |
Last updated: 29 August 2015
For help please email handbookproduction@fca.org.uk