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ARTICLE · 10 DECEMBER 2019

FIG Bulletin, 6 December 2019

Hogan Lovells
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The Financial Conduct Authority (FCA) has published a reminder to firms that, from 9 December 2019, MIFID investment firms and optional exempt firms should use a new form to submit information

United KingdomFinance and Banking
Hogan Lovells
Hogan Lovells

General

Appointing or changing non-SMF directors: new FCA notification form

The Financial Conduct Authority (FCA) has published a reminder to firms that, from 9 December 2019, MIFID investment firms and optional exempt firms should use a new form to submit information to the FCA when appointing non-SMF Directors to, or withdrawing them from, their management body.

Firms can currently preview the form. It will be available to download from the Handbook (in SUP 15, Annex 14R) from 9 December 2019.

If a firm's management body changes, they will need to download the form, complete it and email it to the FCA using [email protected]. This is a temporary process. From Q1 2020, firms will be able to submit the form via Connect. Firms that don't currently have access to Connect should prepare by registering now.

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