RMA-F Threshold conditions: help text

Read our help text about Gabriel submission RMA-F Threshold conditions.

Close links

1. Has there been a notifiable change to firm's close links? Answer this question 'yes' if there has been a change in the firm's close links during this reporting period. Please see our FAQs for information on what constitutes a 'close link' and a firm's requirement to notify us of any changes to its close links.

2. If yes, have we been notified of it? This should only be answered if you answered 'yes' to question 1. Answer this question 'yes' if we have already been notified of the change in close links. For further details on this notification, please see SUP 16.5.4.

Controllers

3. Has there been a notifiable change to the firm's controllers including changes to the percentage of shares or voting power they hold in your firm? Answer this question 'yes' if there has been a change in control at the firm during this reporting period. Please see our FAQs for information on what constitutes a 'change in control' and a firm's requirement to notify us of any changes.

4. If yes, has the FCA been notified of it? This should only be answered if you answered 'Yes' to question 3. Answer this question 'yes' if we have already been notified of the change in control. If the answer is 'no', please contact us immediately. For further details on this reporting requirement refer to SUP 16.4.5.

Further information

RMA-F Frequently Asked Questions