Download the forms you'll need to submit a change in control notification.
Who these forms are for
You must complete the relevant form below if you're a proposed controller of a firm that's:
- authorised under the Financial Services and Markets Act (FSMA) – see Section 422 of FSMA[1]
- authorised or registered under the Electronic Money Regulations (EMRs) or Payment Services Regulations (PSRs)
- registered under the Money Laundering Regulations 2017 (MLRs) as a cryptoasset exchange provider or a custodian wallet provider – see Regulation 60B and Schedule 6B of the MLRs[2]
Complete the right version of each form
Complete the MiFID version if you're seeking to be a controller of a firm authorised under the Markets in Financial Instruments Directive (MiFID).
Complete the cryptoasset version if you're seeking to be a beneficial owner of a firm registered under the MLRs.
Forms to download
These documents can be sent to us either by the proposed controller(s) or jointly by the controller(s) and the target FCA-authorised firm.
But note that it's the proposed controllers who are applying for pre-approval and providing the required information in the form. All contact by us in respect of the notification will be with the proposed controller who has notified us, or the point of contact specified in the form.
Please allow enough time when submitting your notification – we have up to 60 working days to assess each case (excluding any interruption period). Read more about how we assess cases[3].
| Name of form | Who should use it |
|---|---|
|
Corporate controllers form[5] (MiFID) |
A firm that is either a limited company or a limited liability partnership |
|
Partnership controllers form[6] Partnership controllers form[7] (MiFID) |
A firm that is a partnership |
|
Individual controllers form[8] Individual controllers form[9] (MiFID) |
An individual |
|
Trust controllers form[12] (MiFID) |
A trustee, settler or beneficiary of a trust |
| Fund manager form[14] | An FCA-authorised fund manager (subject to satisfying the four conditions set out in SUP 11.3.5B[15]) |
|
Intragroup transactions form[16] Intragroup transactions form[17] (MiFID) |
A firm undertaking an internal reorganisation |
Supporting documents
These should include, but may not be limited to:
- post-transaction structure charts
- CVs for individual controllers and directors/members of corporate controllers
- proof and source of funding
- accounts for corporate controllers
- comprehensive business plan
- disclosure supporting information/documents
Read more about submitting a change in control notification[18].
Find out how to disclose an individual's criminal convictions[19].
