Forms

FSA Handbook

FSA Handbook

Firms online

Firms can now access and submit various forms electronically. For more information see Firms online.

 

 

This page lists the all the forms relevant to the Supervision manual in the FSA Handbook.

Chapter Annex Title

Chapter 6

Applications to vary and cancel Part IV permission

 Annex 5D Variation of Permission Application - Home Finance & General Insurance Mediation Activities [ DOC ]
Variation of Permission Application - Home Finance & General Insurance Mediation Activities (Notes) [ PDF ]
Variation of Permission Application - Insurance Business, Banking (accepting deposits), Electronic Money, Lloyd's Market and Funeral Plan Providers [ DOC ]
Variation of Permission Application - Insurance Business, Banking (accepting deposits), Electronic Money, Lloyd's Market and Funeral Plan Providers (Notes) [ PDF ]
Variation of Permission Application - Investment Business [ DOC ]
Variation of Permission Application - Investment Business (Notes) [ PDF ]
Annex 6D Application for Cancellation of Part IV Permission [ PDF ]

Application for Cancellation of Part IV Permission - Mortgage and General Insurance Firms [ PDF ]

Chapter 8

Waiver and modification of rules

 Annex 2D Application for a waiver or modification [ DOC ]

Chapter 10

Approved Persons

Annex 4D

Long Form A - UK and Overseas Firms (not EEA) [DOC]
Application to perform controlled functions under the approved persons regime

Long Form A - Incoming EEA only [DOC]
Application to perform controlled functions under the approved persons regime

Short Form A - UK and overseas firms (not EEA) [DOC]
Application to perform controlled functions under the approved persons regime

Short Form A - Incoming EEA only [DOC]
Application to perform controlled functions under the approved persons regime

Notes [DOC]

Annex 5R

Form B [DOC]
Notice to withdraw an application to perform controlled functions under the approved persons regime

Notes [DOC]

Annex 6R

Form C [DOC]
Notice of ceasing to perform controlled functions

Notes [DOC]
Annex 7R

Form D [DOC]
Notification of changes in personal information or application details

Notes [DOC]
Annex 8D

Form E [DOC]
Internal transfer of an approved person

Notes [DOC]

Chapter 11

Controllers and close links

Annex 4D Please note that the Controllers Forms A and B have been replaced with a suite of controller forms that are easier to use and should be more relevant to you. These can be accessed on the Change in Control page.
Annex 5D

Chapter 12

Appointed representatives

 Annex 3R Add an Appointed Representative [ PDF ]
Annex 4R Change details of an Appointed Representative [ DOC ]
Annex 5R Termination of an Appointed Representative [ DOC ]

Chapter 15

Notifications to the FSA

 Annex 2R

Form F [ DOC ]
Changes in notified persons

Notes [DOC]

Annex 3R Standing Data Form [ PDF ]
Annex 4R Notification Form [ PDF ]

Chapter 16

Reporting Requirements

 Annex 1R Banks' reporting forms [ PDF ]
Annex 2G Guidance notes on form 1R [ PDF ]
Annex 3R Building societies' reporting forms [ PDF ]
Annex 4G Guidance notes on form 3R [ PDF ]
Annex 5R Investment management firms' reporting forms [PDF]
Annex 6R Persistency report [ PDF ]
Annex 9R Annual questionnaire for authorised professional firms [ PDF ]
Annex 10R Securities and Futures firms' reporting forms [PDF]
Annex 11G Guidance notes on form 10R [ PDF ]
Annex 12G Reports from trustees of AUTs and depositories of ICVCs [ PDF]
Annex 13R Return cover sheet [ PDF ]
Annex 14R Quarterly and annual returns for Credit Unions [ PDF ]
Annex 15G Notes on completing the quarterly and annual returns for Credit Unions [ PDF ]
Annex 16R UCITS management companies reporting forms and requirements applying to their completion [ PDF ]
Annex 17G Consolidated financial resources return for investment management firms [ PDF ]
Annex 18AR Retail Mediation Activities Return ('RMAR') [ PDF ]
Annex 18BG Notes for completion of the Retail Mediation Activities Return ('RMAR') [ PDF ]
Annex 19AR Mortgage Lending and Administrations Return ('MLAR') [ PDF ]
Annex 19BG Notes for completion of the Mortgage Lending and Administration Return ('MLAR') [PDF]
Annex 20G Products covered by the reporting requirement in SUP 16.11 [ PDF ]
Annex 21R Reporting Fields [ PDF ]
Annex 22R Consolidated supervision return for investment firms [ PDF ]
Annex 23G Consolidated supervision return for investment firms (Notes) [ PDF ]
Annex 24R Data items for SUP 16.7 and SUP 16.12 [PDF]
Annex 25G Guidance notes for data items in SUP 16 Annex 24R [PDF]

Chapter 17

Transaction reporting

Annex 3R Manual transaction reporting form [ PDF ]

Chapter 21

Waiver

Annex 3R Form of Waiver: Energy Market Participant [ PDF ]

 

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