Regulated firms need to notify us or the PRA about certain events. Find out what you need to tell us about and how to notify the appropriate regulator.
The notification rules in our Handbook may state a specific form you need to submit, otherwise follow the guidelines below.
Read our rules on notification in SUP 15 of our Handbook[1].
General notifications
Firms should follow the rules in SUP 15.3.5G[5] and notify the appropriate regulator about:
- Matters with a serious regulatory impact.
- Anything about the firm of we would reasonably expect notice (under Principle 11, firms must deal with regulators in an open and cooperative way).
- Breaches of rules and other requirements in or under the Act or the Consumer Credit Act 1974.
- Civil, criminal or disciplinary proceedings against a firm.
- Fraud, errors and other irregularities.
- Insolvency, bankruptcy and winding up.
- Markets at Lloyd's of London.
- UK alternate investment fund managers (AIFMs).
- Competition law infringements.
How to notify the regulator
| FCA-only firms | Use our firm notification form (SUP15)[6]. |
|---|---|
| Dual-regulated firms | Contact your usual supervisory contact at the FCA and PRA via post, hand delivery, email or fax. If your usual contact is the PRA firm enquiries team, email [email protected]. |
Core information (change in address, name, telephone number)
Firms must tell the appropriate regulator before changing address, name or telephone number.
(You also need to confirm these details in your annual attestation[7].)
Before you change your core information, submit our firm details form via Connect.
This applies to both FCA-only and dual-regulated firms.
Notified persons
Overseas firms operating in the UK must tell us within 30 business days of any person taking up or ceasing to hold certain positions, such as chief executive or those responsible for UK operations.
Notify us via Connect[9]. (This applies to both FCA-only and dual-regulated firms.)
If you do not have access to Connect, submit the firm notification form (SUP15)[6].
Other events
Submit our firm notification form (SUP15)[10] to notify us of an event that has occurred or will occur in the foreseeable future:
- Management of occupational pension scheme assets.
- Individual Pension accounts.
- Insurer’s commission clawback.
- Money service business report.
- Delegation by UK UCITs management companies.
- CTF providers.
- Suspicious transactions reporting.
- Notification by members of financial conglomerates.
(This applies to both FCA-only and dual-regulated firms.)
Help on where to submit
If you’re unsure what you need to do, email [email protected].
