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Replace Page into the Working Time Control Form

Replace Page into the Working Time Control Form

Aug 6th, 2022

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Got questions?

Below are some common questions from our customers that may provide you with the answer you're looking for. If you can't find an answer to your question, please don't hesitate to reach out to us.

When should firms tell the FCA about change in control?

Notifications for changes in control are known as Section 178 notices. You should send us a notification as soon as you have made a decision to acquire a control in an authorised firm.

How long does FCA approval take for change of control?

The FCA has 60 working days (excluding any interruption period) to assess a change of control case. This period begins on the day your 178 notice has been acknowledged.

What is FCA form A?

SUP 10A Annex 4 Form A: Application to perform controlled functions under the approved persons regime - FCA Handbook. PRA Rulebook. Glossary.

What is a sup 15 notification?

FCA Handbook SUP 15 relates to notifications which firms must make to the FCA and includes the type of events or circumstances which must either be notified to the FCA immediately or that the FCA considers appropriate to be reported in ance with Principle 11.

When would a firm wish to submit a change in control application?

An application will need to be made as soon as a decision has been made to acquire control in an authorised firm. The FCA handbook provides some guidance on when they deem a decision to have been made.

How do you get approved by the FCA?

Before the FCA will authorise a firm, they must be satisfied that the applicant firm can meet and will continue to meet certain minimum standards, called threshold conditions and that the persons running the firm are fit and proper.

How long does it take to get FCA approved?

It takes approximately 6-12 months to become FCA authorised. The timeframe depends on how quickly the main FCA application forms and supporting documents (including business plan and financial projections) are collated and how long it takes for an FCA case officer to be assigned.

When should the FCA be told about a change in control?

Notifications for changes in control are known as Section 178 notices. You should send us a notification as soon as you have made a decision to acquire a control in an authorised firm.

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