Read our guide for firms to use when submitting notifications to the appropriate regulator.
The table below (from Policy Statement PS13/5) sets out where dual-regulated and FCA-only regulated firms should submit notifications/reports, as required by the Supervision Manual (SUP) Chapters 11, 15 and 16. We have also included reports required by other sections of the Handbook at the bottom of the table.
This table is intended to be a guide for firms to use when submitting notifications to the appropriate regulator.
|
SUP 11 |
Dual-regulated firms |
FCA-only regulated firms |
Where to find the submitting address |
|---|---|---|---|
|
Controllers and proposed controllers s178 notice – pre-notification (seeking approval) For new or increase in control of a UK regulated firm |
Via email to [email protected], or via post or hand delivery to Assessment and Monitoring Team |
Via email to [email protected], or via post or hand delivery to Change in Control Team |
On the pre-notification change in control forms |
|
Decrease in control notification by controllers |
Via email to [email protected], or via post or hand delivery to Assessment and Monitoring Team |
Via email to [email protected], or via post or hand delivery to Change in Control Team |
On the pre-notification change in control forms (SUP 11.3.15A for process) |
|
Close links notification – event-driven Close links notification – monthly |
Via email to [email protected] |
Via email to [email protected] |
SUP 11 directs firms to the ‘Close Links’ page on the PRA and FCA websites which contains this address. |
|
For dual-regulated firms: the term ‘appropriate regulator’ in SUP 15 means the PRA in the PRA Rulebook and the FCA in the Handbook. SUP 15.2.5G reminds dual-regulated firms that, where the term is used in a provision that appears both in the PRA and FCA Handbooks, ‘appropriate regulator’ therefore means in effect both the FCA and PRA. |
||||||
|---|---|---|---|---|---|---|
|
SUP 15 |
Dual-regulated firms |
FCA-only regulated firms |
Where to find the submitting address |
|||
|
General notifications (Firms should have regard to SUP 15.3.5G) |
Usual supervisory contact at the FCA and PRA via post, hand delivery, electronic mail or fax. Where the usual supervisory contact at the PRA is the PRA Firm Enquiries Team, email [email protected] |
Usual supervisory contact at the FCA (unless stated in the notification rule, or on the relevant form (if specified) via |
Flagged in SUP 15 |
|||
|
SUP 15.5 Core information requirements (Change in address, name, telephone number) |
Via Connect Credit Unions: Usual supervisory contact at the PRA via post, hand delivery, email, fax, Connect, or |
Via Connect |
SUP 15 Annex 3R |
|||
|
Notified persons |
Via Connect Credit unions: Usual supervisory contact at the PRA via post, hand delivery, electronic mail or fax. Where the usual supervisory contact is the PRA Firm Enquiries Team, email [email protected] |
Via Connect |
SUP 15.4 Annex 2 |
|||
|
Management of occupational pension scheme assets |
Usual supervisory contact at the FCA (unless stated in the notification rule, or on the relevant form (if specified) via |
Usual supervisory contact at the FCA (unless stated in the notification rule, or on the relevant form (if specified) via |
Flagged in SUP 15 |
|||
|
Individual Pension accounts |
Usual supervisory contact at the FCA (unless stated in the notification rule, or on the relevant form (if specified) via |
Usual supervisory contact at the FCA (unless stated in the notification rule, or on the relevant form (if specified) via |
Flagged in SUP 15 |
|||
|
Insurer’s commission clawback |
Usual supervisory contact at the FCA (unless stated in the notification rule, or on the relevant form (if specified) via |
Usual supervisory contact at the FCA (unless stated in the notification rule, or on the relevant form (if specified) via |
Flagged in SUP 15 |
|||
|
Money service business report |
Usual supervisory contact at the FCA (unless stated in the notification rule, or on the relevant form (if specified) via |
Usual supervisory contact at the FCA (unless stated in the notification rule, or on the relevant form (if specified) via |
Flagged in SUP 15 |
|||
|
Delegation by UK UCITs management companies |
Usual supervisory contact at the FCA (unless stated in the notification rule, or on the relevant form (if specified) via |
Usual supervisory contact at the FCA (unless stated in the notification rule, or on the relevant form (if specified) via |
Flagged in SUP 15 |
|||
|
CTF providers |
Usual supervisory contact at the FCA (unless stated in the notification rule, or on the relevant form (if specified) via |
Usual supervisory contact at the FCA (unless stated in the notification rule, or on the relevant form (if specified) via |
Flagged in SUP 15 |
|||
|
Suspicious transactions reporting |
Usual supervisory contact at the FCA (unless stated in the notification rule, or on the relevant form (if specified) via |
Usual supervisory contact at the FCA (unless stated in the notification rule, or on the relevant form (if specified) via |
Flagged in SUP 15 |
|||
|
Notification by members of financial conglomerates |
Usual supervisory contact at the FCA (unless stated in the notification rule, or on the relevant form (if specified) via |
Usual supervisory contact at the FCA (unless stated in the notification rule, or on the relevant form (if specified) via |
Flagged in SUP 15 |
|||
|
SUP 16 |
Dual-regulated firms |
FCA-only regulated firms |
Where to find the submitting address |
|||
|---|---|---|---|---|---|---|
|
SUP 16.4 (Controllers – annual report |
For periods ending before 31 December 2013 Via email ([email protected]) or via post or hand delivery to the FCA marked for the attention of ‘Central Reporting’. For periods ending on or after 31 December 2013 |
For periods ending before 31 December 2013 Via email ([email protected]) or via post or hand delivery to the FCA marked for the attention of ‘Central Reporting’. For periods ending on or after 31 December 2013 |
SUP 16.3.6R – 10G |
|||
|
SUP 16.5 (Close links – annual report) |
For periods ending before 31 December 2013 Via email to [email protected] For periods ending on or after 31 December 2013 |
For periods ending before 31 December 2013 Via email to [email protected] For periods ending on or after 31 December 2013 |
SUP 16.3.6R – 10G |
|||
|
SUP 16.6 (Compliance reports) |
Via email ([email protected]) or via post or hand delivery to the FCA marked for the attention of ‘Central Reporting’. |
Via email ([email protected]) or via post or hand delivery to the FCA marked for the attention of ‘Central Reporting’. |
SUP 16.3.6R – 10G |
|||
|
SUP 16.8 (Persistency Reports) |
[email protected] or via post or hand delivery to the FCA marked for the attention of ‘Central Reporting’. |
[email protected] or via post or hand delivery to the FCA marked for the attention of ‘Central Reporting’. |
N/A |
|||
|
SUP 16.9 (Appointed reps reports-annual) |
Via email to [email protected]
|
Via email to [email protected] |
SUP 16.3.6R – 10G |
|||
|
SUP 16.10 (Firm details) |
Via Connect Credit unions: [email protected] or via post or hand delivery to the FCA marked for the attention of the ‘Static Data team’. |
Via Connect |
SUP 16.10.4AR |
|||
|
SUP 16.11 (Product sales data) |
SUP 16.3.6R – 10G |
|||||
|
SUP 16.12 (Regulatory reporting – Annual Accounts) |
For periods ending before 31 December 2014 Via email to [email protected] For periods ending on or after 31 December 2014 |
For periods ending before 31 December 2014 Via email to [email protected] For periods ending on or after 31 December 2014 |
SUP 16.3.6R – 10G |
|||
|
SUP 16.12 (Regulatory reporting – FSA00) |
SUP 16.3.6R – 10G |
|||||
|
SUP 16.12 (Regulatory reporting – RMAR) |
SUP 16.3.6R – 10G |
|||||
|
SUP16.12 (Regulatory reporting – MLAR) |
SUP 16.3.6R – 10G |
|||||
|
SUP16.12 (Regulatory reporting – APF questionnaire |
n/a |
Via email ([email protected]) or via post or hand delivery to the FCA marked for the attention of ‘Central Reporting’. |
SUP 16.3.6R – 10G |
|||
|
SUP 16.13 (Payment services reports) |
SUP 16.3.6R – 10G |
|||||
|
SUP16.14 (Client Money & Asset Return) |
SUP 16.3.6R – 10G |
|||||
|
SUP16.15 (E-Money regulations) |
[email protected] or via post or hand delivery to the FCA marked for the attention of ‘Central Reporting’. |
[email protected] or via post or hand delivery to the FCA marked for the attention of ‘Central Reporting’. |
FCA website on e-money SUP 16.15 |
|||
|
SUP 16.16 (Prudential valuation reports) |
Via email or via post or hand delivery to Regulatory Data Group or via fax to the Regulatory Data Group of the Bank of England (020 7601 3334) Submitted with year-end returns |
Via email or via post or hand delivery to Regulatory Data Group or via fax to the Regulatory Data Group of the Bank of England (020 7601 3334) |
SUP 16.16.4R |
|||
|
SUP 16.17 (Remuneration reporting) |
Via email to EBA.remunerationData |
Via email to Regulatory. |
N/A |
|||
|
Other reports |
Dual-regulated firms |
FCA-only regulated firms |
Where to find the submitting address |
|---|---|---|---|
|
Credit unions – annual accounts (submitted with annual return), annual return (CY) and quarterly return (CQ) |
Via email ([email protected]) or via post or hand delivery to Regulatory Data Group or via fax to the Regulatory Data Group of the Bank of England (020 7601 3334) |
n/a |
SUP 16.12.3R (1)(3) CREDS 8.2 |
|
Credit unions – complaints return |
Via email ([email protected]) or via post or hand delivery to the FCA marked for the attention of ‘Central Reporting’. |
n/a |
CREDS 9.2 |
|
Insurance returns |
Via email ([email protected] ) and via post or hand delivery to: Regulatory Data Group or via fax to the Regulatory Data Group of the Bank of England (020 7601 3334) For Controllers & Close Links – see SUP 16.4 & SUP 16.5 above for submission address |
n/a |
IPRU(INS) 9.6(2) |
|
Friendly society returns |
Via email ([email protected]) and via post or hand delivery to: Regulatory Data Group or via fax to the Regulatory Data Group of the Bank of England (020 7601 3334) For Controllers & Close Links – see SUP 16.4 & SUP 16.5 above for submission address |
n/a |
IPRU (FSOC) 3.1 (7) |
|
Other reports |
Dual-regulated firms |
FCA-only regulated firms |
Where to find the submitting address |
|---|---|---|---|
|
Credit unions – annual accounts (submitted with annual return), annual return (CY) and quarterly return (CQ) |
Via email ([email protected]) or via post or hand delivery to Regulatory Data Group or via fax to the Regulatory Data Group of the Bank of England (020 7601 3334) |
n/a |
SUP 16.12.3R (1)(3) CREDS 8.2 |
|
Credit unions – complaints return |
Via email ([email protected]) or via post or hand delivery to the FCA marked for the attention of ‘Central Reporting’. |
n/a |
CREDS 9.2 |
|
Insurance returns |
Via email ([email protected] ) and via post or hand delivery to: Regulatory Data Group or via fax to the Regulatory Data Group of the Bank of England (020 7601 3334) For Controllers & Close Links – see SUP 16.4 & SUP 16.5 above for submission address |
n/a |
IPRU(INS) 9.6(2) |
|
Friendly society returns |
Via email ([email protected]) and via post or hand delivery to: Regulatory Data Group or via fax to the Regulatory Data Group of the Bank of England (020 7601 3334) For Controllers & Close Links – see SUP 16.4 & SUP 16.5 above for submission address |
n/a |
IPRU (FSOC) 3.1 (7) |