Where to submit your returns - Financial Conduct Authority

Where to submit your returns

\

 

The table below (as originally published in Policy Statement PS13/5) sets out where dual regulated and FCA-only regulated firms should submit notifications/reports, as required by Supervision Manual (SUP) Chapters 11, 15 and 16. We have also included reports required by other sections of the FCA Handbook at the bottom of the table.  

This table is intended to be used as a handy guide for firms to use when submitting notifications to the appropriate regulator.

SUP 11 Dual regulated firms FCA only regulated firms Where is the submitting address located?

Controllers and proposed controllers s178 notice – pre-notification (seeking approval)

For new or increase in control of a UK regulated firm

Via email to PRA-changeincontrol@bankofengland.co.uk, or via post or hand delivery to

Assessment and Monitoring Team
Bank of England – Prudential Regulation Authority
20 Moorgate
London
EC2R 6DA

Via email to cic-notifications@fca.org.uk, or via post or hand delivery to

Change in Control Team
Financial Conduct Authority
25 The North Colonnade
London
E14 5HS

 

On the pre-notification change in control forms
Decrease in control notification by controllers

Via email to PRA-changeincontrol@bankofengland.co.uk, or via post or hand delivery to

Assessment and Monitoring Team
Bank of England – Prudential Regulation Authority
20 Moorgate
London
EC2R 6DA

Via email to cic-notifications@fca.org.uk, or via post or hand delivery to

Change in Control Team
Financial Conduct Authority
25 The North Colonnade
London
E14 5HS

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 Regulatory.reports@fca.org.uk Via email to Regulatory.reports@fca.org.uk SUP 11 directs firms to the ‘Close Links’ page on the PRA and FCA websites which contains this address.

 

(NB for dual regulated firms: the term ‘appropriate regulator’ in SUP 15 means the PRA in the PRA Handbook and the FCA in the FCA Handbook. New SUP 15.2.5G reminds dual regulated firms that where the term is used in a provision which 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 is the submitting address located?

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 the electronic email address is PRAfirm.enquiries@bankofengland.co.uk

Usual supervisory contact at the FCA (unless stated in the notification rule, or on the relevant form (if specified) via

firm.queries@fca.org.uk

Flagged in SUP 15

SUP 15.5 Core information requirements

(Change in address, name, telephone number)

Via ONA

Credit Unions: Usual supervisory contact at the PRA via post, hand delivery, email, fax, ONA, or

PRAfirm.enquiries@bankofengland.co.uk

Via ONA

 

SUP 15 Annex 3R
Notified persons

Via ONA

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 the email address is PRAfirm.enquiries@bankofengland.co.uk

Via ONA 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

firm.queries@fca.org.uk

Usual supervisory contact at the FCA (unless stated in the notification rule, or on the relevant form (if specified) via

firm.queries@fca.org.uk

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

firm.queries@fca.org.uk

Usual supervisory contact at the FCA (unless stated in the notification rule, or on the relevant form (if specified) via

firm.queries@fca.org.uk

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

firm.queries@fca.org.uk

Usual supervisory contact at the FCA (unless stated in the notification rule, or on the relevant form (if specified) via

firm.queries@fca.org.uk

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

firm.queries@fca.org.uk

Usual supervisory contact at the FCA (unless stated in the notification rule, or on the relevant form (if specified) via

firm.queries@fca.org.uk

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

firm.queries@fca.org.uk

Usual supervisory contact at the FCA (unless stated in the notification rule, or on the relevant form (if specified) via

firm.queries@fca.org.uk

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

firm.queries@fca.org.uk

Usual supervisory contact at the FCA (unless stated in the notification rule, or on the relevant form (if specified) via

firm.queries@fca.org.uk

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

firm.queries@fca.org.uk

Usual supervisory contact at the FCA (unless stated in the notification rule, or on the relevant form (if specified) via

firm.queries@fca.org.uk

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

firm.queries@fca.org.uk

Usual supervisory contact at the FCA (unless stated in the notification rule, or on the relevant form (if specified) via

firm.queries@fca.org.uk

Flagged in SUP 15

 

SUP 16 Dual regulated firms FCA only regulated firms Where is the submitting address located?

SUP 16.4 (Controllers – annual report

For periods ending before 31 December 2013

Via email (Regulatory.reports@fca.org.uk) or via post or hand delivery to the FCA marked for the attention of ‘Central Reporting’ or via fax (020 7066 3905)

For periods ending on or after 31 December 2013

GABRIEL

For periods ending before 31 December 2013

Via email (Regulatory.reports@fca.org.uk) or via post or hand delivery to the FCA marked for the attention of ‘Central Reporting’ or via fax (020 7066 3905)

For periods ending on or after 31 December 2013

GABRIEL

SUP 16.3.6R – 10G

SUP 16.5

(Close links – annual report)

For periods ending before 31 December 2013

Via email to Regulatory.reports@fca.org.uk 

For periods ending on or after 31 December 2013

GABRIEL

For periods ending before 31 December 2013

Via email to Regulatory.reports@fca.org.uk 

For periods ending on or after 31 December 2013

GABRIEL

SUP 16.3.6R – 10G
SUP 16.6 (Compliance reports)

Via email (Regulatory.reports@fca.org.uk) or via post or hand delivery to the FCA marked for the attention of ‘Central Reporting’ or via fax (020 7066 3905)

Via email (Regulatory.reports@fca.org.uk) or via post or hand delivery to the FCA marked for the attention of ‘Central Reporting’ or via fax (020 7066 3905) SUP 16.3.6R – 10G

SUP 16.8

(Persistency Reports)

GABRIEL

GABRIEL

N/A

SUP 16.9

(Appointed reps reports-annual)

For periods ending before 31 December 2014

Via email to Regulatory.reports@fca.org.uk

For periods ending on or after 31 December 2014

GABRIEL

For periods ending before 31 December 2014

Via email to Regulatory.reports@fca.org.uk

For periods ending on or after 31 December 2014

GABRIEL

SUP 16.3.6R – 10G

SUP 16.10

(Standing data)

Via Connect

Credit Unions: Static.Data@fca.org.uk 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)

GABRIEL

GABRIEL

SUP 16.3.6R – 10G

SUP 16.12

(Regulatory reporting – Annual Accounts)

GABRIEL GABRIEL SUP 16.3.6R – 10G

SUP 16.12

(Regulatory reporting – FSA00)

GABRIEL GABRIEL SUP 16.3.6R – 10G

SUP 16.12

(Regulatory reporting – RMAR)

GABRIEL GABRIEL SUP 16.3.6R – 10G

SUP16.12

(Regulatory reporting – MLAR)

GABRIEL GABRIEL SUP 16.3.6R – 10G

SUP16.12

(Regulatory reporting – APF questionnaire

n/a Via email (Regulatory.reports@fca.org.uk) or via post or hand delivery to the FCA marked for the attention of ‘Central Reporting’ or via fax (020 7066 3905) SUP 16.3.6R – 10G

SUP 16.13

(Payment services reports)

GABRIEL GABRIEL SUP 16.3.6R – 10G

SUP16.14

(Client Money & Asset Return)

GABRIEL GABRIEL SUP 16.3.6R – 10G

SUP16.15

(E-Money regulations)

E-MoneyReturns@fca.org.uk or via post or hand delivery to the FCA marked for the attention of ‘Central Reporting’ or via fax (020 7066 3905) E-MoneyReturns@fca.org.uk or via post or hand delivery to the FCA marked for the attention of ‘Central Reporting’ or via fax (020 7066 3905) 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
Statistics and Regulatory Data Division (HO5 A-B)Bank of England
Threadneedle Street
London
EC2R 8AH

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
Statistics and Regulatory Data Division (HO5 A-B)Bank of England
Threadneedle Street
London
EC2R 8AH

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 GABRIEL Via GABRIEL N/A

 

Other reports Dual regulated firms FCA only regulated firms Where is the submitting address located?
Credit Unions – annual accounts (submitted with annual return), annual return (CY) and quarterly return (CQ)

Via email (creditunionreporting@bankofengland.co.uk) or via post or hand delivery to

Regulatory Data Group
Statistics and Regulatory Data Division (HO5 A-B)
Bank of England
Threadneedle Street
London
EC2R 8AH

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 (Regulatory.reports@fca.org.uk) or via post or hand delivery to the FCA marked for the attention of ‘Central Reporting’ or via fax (020 7066 3905) n/a CREDS 9.2
Insurance returns

Via email (insurancedata@bankofengland.co.uk ) and via post or hand delivery to:

Regulatory Data Group
Statistics and Regulatory Data Division (HO5 A-B)Bank of England
Threadneedle Street
London
EC2R 8AH

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 (insurancedata@bankofengland.co.uk ) and via post or hand delivery to:

Regulatory Data Group
Statistics and Regulatory Data Division (HO5 A-B)Bank of England
Threadneedle Street
London
EC2R 8AH

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 is the submitting address located?
Credit Unions – annual accounts (submitted with annual return), annual return (CY) and quarterly return (CQ)

Via email (creditunionreporting@bankofengland.co.uk) or via post or hand delivery to

Regulatory Data Group
Statistics and Regulatory Data Division (HO5 A-B)
Bank of England
Threadneedle Street
London
EC2R 8AH

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 (Regulatory.reports@fca.org.uk) or via post or hand delivery to the FCA marked for the attention of ‘Central Reporting’ or via fax (020 7066 3905) n/a CREDS 9.2
Insurance returns

Via email (insurancedata@bankofengland.co.uk ) and via post or hand delivery to:

Regulatory Data Group
Statistics and Regulatory Data Division (HO5 A-B)Bank of England
Threadneedle Street
London
EC2R 8AH

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 (insurancedata@bankofengland.co.uk ) and via post or hand delivery to:

Regulatory Data Group
Statistics and Regulatory Data Division (HO5 A-B)Bank of England
Threadneedle Street
London
EC2R 8AH

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)