SMR and SIMR: forms

Find out more about the new forms for banking sector firms that are subject to the Senior Managers Regime (SMR).

As part of the implementation of the SMR, a new set of forms for individuals in relevant firms have been introduced.

The forms and accompanying guidance notes for the new regime are set out in the Table of Forms below. ​

Table of Forms – Relevant Authorised Persons (RAPs)

Form

Title

Notes
 

Long Form A

UK Relevant Authorised Persons and Third Country Relevant Authorised Persons only
Application to perform senior management functions

 

Short Form A

UK Relevant Authorised Persons and Third Country Relevant Authorised Persons only
Application to perform senior management functions

 

Long Form A

EEA Relevant Authorised Persons only

Application to perform senior management functions

 

Short Form A

EEA Relevant Authorised Persons only

Application to perform senior management functions

 

A – Guidance notes

Application to perform controlled functions

Guidance notes will follow in due course.

B

Notice to withdraw an application to perform controlled functions (including senior management functions)

 

C

Notice of ceasing to perform controlled functions (including senior management functions)

 

D

Notification: Changes to personal information/application details and conduct breaches/disciplinary action related to conduct

 

E

Internal transfer of an approved person (for firms and individuals subject to the senior management regime)

 

E – Guidance notes

Internal transfer of an approved person

Guidance notes will follow in due course.

I

Application for the Variation of a Conditional Approval for the performance of a Senior Management Function

 

J

Notification of Significant Changes in Responsibilities of a Senior Management Function Manager

 

SOR

Senior Management Regime: Statement of Responsibilities

 

SOR

Senior Management Regime: Statement of Responsibilities (EEA Relevant Authorised Persons only)

 

 

Senior Management Regime: Statement of Responsibilities (Third Country Relevant Authorised Persons only)

 

SOR – Guidance notes

​Statement of Responsibilities

Guidance notes will follow in due course.

Links to the new forms are also contained in the new rules:

Firms should refer to the rules to determine which forms they should submit.

Information from the PRA

For information about the PRA’s approach to implementing the new regimes, and supporting material, please visit the PRA’s pages on strengthening accountability