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Status: Please note you should read all Brexit changes to the FCA Handbook and BTS alongside the main FCA transitional directions. Where these directions apply the 'standstill', firms have the choice between complying with the pre-IP completion day rules, or the post-IP completion day rules. To see a full list of Handbook modules affected, please see Annex B to the main FCA transitional directions.

You are viewing the version of the document as on 2021-01-01.

Status: In this content, we have included all amendments made by EU exit-related instruments up to end September 2020. There will be more amendments to be made later this year, further to the September QCP.

Article 7 Format of the application

  1. (1)

    A third party shall allocate a unique reference number to each document it submits to the FCA as part of its application.

  2. (2)

    A third party shall include a substantiated explanation in its application for any requirement of this Regulation considered non-applicable.

  3. (3)

    The application referred to in Article 1 shall be accompanied by a letter signed by a member of the third party's management body confirming that:

    1. (a)

      the submitted information is accurate and complete to the best of his or her knowledge, as of the date of the submission of the application;

    2. (b)

      the applicant is neither a regulated entity as defined in point (4) of Article 2 of Directive 2002/87/EC, nor a credit rating agency as defined in Article 3(1) of Regulation (EC) No 1060/2009.