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Home FCA Handbook SUP SUP 10A SUP 10A.12 Procedures relating to FCA-approved persons
You are viewing SUP 10A.12 Procedures relating to FCA-approved persons as of . SUP 10A.12 Procedures relating to FCA-approved persons was last updated on 01/10/2021.

SUP 10A.12 Procedures relating to FCA-approved persons

Forms

07/12/2020G

The forms listed in SUP 10A.12.2 G are referred to in SUP 10A.12 (Procedures relating to FCA-approved persons) to SUP 10A.16 (How to apply for approval and give notifications).

07/12/2020G

Table: FCA-approved persons forms

FormPurposeHandbook requirement
the relevant Form ASUP 10C Annex 3DApplication to perform controlled functions under the approved persons regimeSUP 10A.13.3 D
Form BSUP 10C Annex 4RNotice to withdraw an application to perform controlled functions under the approved persons regimeSUP 10A.13.19 R
Form CSUP 10C Annex 5RNotice of ceasing to perform controlled functionsSUP 10A.14.8 R
Form DSUP 10C Annex 6RNotification of changes in personal information or application detailsSUP 10A.14.15 R
Form ESUP 10C Annex 7DInternal transfer of an approved personSUP 10A.14.4 D
 
 
07/12/2020G

Unless the context otherwise requires, in SUP 10A.12 (Procedures relating to FCA-approved persons) to SUP 10A.16 (How to apply for approval and give notifications) where reference is made to a firm, this also includes an applicant for Part 4A permission, and other persons seeking to carry on regulated activities as an authorised person.

01/04/2013G

Forms B, C, D and E can only be submitted in respect of an FCA-approved person by the firm that submitted an FCA-approved person's original application (the relevant Form A).

01/10/2021G

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 Hub. To contact the FCA's Supervision Hub for approved persons enquiries:

  1. (1)

    telephone 0300 500 0597;or

  2. (2)

    e-mail firm.queries@fca.org.uk; or

  3. (3)

    fax 020 7066 0017; or

  4. (4)

    write to:

    Supervision Hub

    The Financial Conduct Authority

    12 Endeavour Square

    London

    E20 1JN.