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New FCA Forms Announced

News from the Regulator: New FCA Forms to be used

23rd September 2015

 FCA News: The Regulator announced today that some of their most utilised forms will be replaced with new versions once the Senior Manager’s Regime is effective next year.

The Senior Managers Regime along with the Certification Regime and Conduct Rules are all set to become effective next year as a measure to increase Accountability within the Financial Services for those firms that are dual regulated – by both the FCA and PRA. The Accountability Regime will affect PRA-designated investment firms, deposit-takers and insurers who will all now be busy preparing for the commencement of the new regime on 7th March 2016.

This summer the regulators issued their final rules on Accountability, however they have today entered into consultation  regarding the impact the new Accountability Regime will have on new and existing forms for both firms and individuals.

The proposed amendments required for a series of forms relating to the regulatory approval for certain roles for both individuals and firms have now been issued and comments on the consultation’s proposals are invited by 19th October 2015.

Proposed Amendments to FCA Forms:

There are proposed amendments to questions in two forms for the new regime and two existing FCA forms used in the current Approved Persons Regime.

Changes to Existing FCA Forms:

However there are not only proposed changes to a number of forms effective from next March, but in addition the Regulators have informed that effective immediately, a number of existing forms have been revised. Whilst many firms will access the new revised forms online via the FCA Connect system, the revised portable document versions are now available via the handbook.

A list of current forms that have been revised and are effective immediately (from 18th September 2015) are below.

What’s New

Compound Growth can help your firm  keep up to date with the latest Regulatory News and Compliance Updates:

New FCA & PRA Forms effective now

New FCA Forms effective now

  • Long Form A – UK Firms (Relevant Authorised Persons only)
  • Long Form A – Solvency II firms only
  • Long Form A – UK and Overseas Firms (not Incoming EEA)
  • Long Form A – Incoming EEA only Application for a Payment Institution Qualifying Holding (Controller) – Corporate Form
  • Application for Authorisation Controllers appendices – Partnership, Individual and Corporate Forms
  • Application for Authorisation – Disclosure of significant events appendix
  • Notification for Change in Controller (Section 178 notice) – Partnership, Individual, and Corporate Forms
  • Notification for Change in Controller (Section 178 notice) – Intragroup transactions
  • Sole Trader Appendix
  • PSD Individual Form: Application Form for an individual responsible for the management of a Payment Institution
  • Application for a Payment Institution Qualifying Holding (Controller) – Individual Form, Corporate Form and Partnership Form
  • Notification for a ‘Change in Qualifying Holding’ Individual (Controller) Form for a Payment Institution
  • Add a PSD agent form: Application under regulation 29 of The Payment Services Regulations 2009
  • Application Form for an individual responsible for the management of an Electronic Money Institution
  • Application for Authorisation as an Authorised Electronic Money Institution Qualifying holding (Controller) Individual, Corporate and Partnership Forms
  • Add an EMD Agent Form: Application under regulation 34 of the Electronic Money Regulations 2011
  • Application for Registration as a Small Electronic Money Institution (SEMI) form
  • Form 272: Application for an order declaring an overseas collective investment scheme to be recognised in the UK
  • Application for registration as a consumer buy-to-let mortgage firm

Help with New FCA Forms

If you should require and help or assistance in completing any existing or new FCA Form, please contact our helpful Regulatory Support team who will be happy to assist.

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