Notes
FCA/PRA Firm Details Notification Release 2 March 2018 page 1
Notification to amend firm details
To update firm name and trading names, website address, accounting reference
date, auditors, locum, contacts and addresses
SUP 15 Annex 3R Notifications under SUP 16.10
Firm name
Firm reference number
Address
Name: FRN:
Please return the form, marked for the attention of the Customer Contact Centre to:
Financial Conduct Authority
25 The North Colonnade
Canary Wharf
London E14 5HS
United Kingdom
Telephone +44 (0) 7066 1000
Facsimile +44 (0) 7066 1099
Registered as a Limited Company in England and Wales No 1920623. Registered Office as
above.
Notes
FCA/PRA Firm Details Notification Release 2 March 2018 page 2
Notes
This form should be used to update your firm name and trading
name(s), website address, accounting reference date, auditors, locum,
contacts and addresses.
1 Personal Details
FCA/PRA Firm Details Notification Release 2 March 2018 page 3
1
Personal Details
1.1 Contact Name for this notification
1.2 Contact Details
Position in the
firm
Daytime
telephone
number
Email address
Individual
reference number
(IRN), if
applicable
2 Change Full Name of Firm
FCA/PRA Firm Details Notification Release 2 March 2018 page 4
2
Change Full Name of Firm
If you wish to advise the FCA or PRA of a change to the firm’s name please
enter the following details, otherwise proceed to Section3.
Note: this section is not intended to be used by firms that are covered by
Industrial & Provident, Friendly Society, Credit Union or Building Society
legislation. These firms should contact the FCA’s Mutuals Team.
2.1 Current Legal Status
Private Limited Company
Public limited company
Limited Liability Partnership
Limited partnership
Sole trader
Unlimited Liability Company
Partnership
OtherPlease specify below
2.2 New full name of firm
2.3 Please enter the date on which the change becomes effective
/
/
2.4 Has the change requested been approved by Companies House?
Yes
No
N/A
If your firm is a UK registered limited company (including PLC), limited
partnership (if registered at Companies House), limited liability
partnership or unlimited liability company, you should only make a change
to your firm name if the change has already been approved by Companies
House.
If you have answered ‘Not Applicable’, please explain why below.
2.5 I confirm that the change requested does not constitute a change of
legal status.
Yes
3a Add New Trading Name(s)
FCA/PRA Firm Details Notification Release 2 March 2018 page 5
3a
Add New Trading Name(s)
If you wish to add a new trading name of the firm please enter the following
details, otherwise please proceed to Section 3b.
New Trading Name
Please enter the date on which the change becomes effective
/
/
New Trading Name
Please enter the date on which the change becomes effective
/
/
New Trading Name
Please enter the date on which the change becomes effective
/
/
New Trading Name
Please enter the date on which the change becomes effective
/
/
3b Delete Current Trading Name(s)
FCA/PRA Firm Details Notification Release 2 March 2018 page 6
3b
Delete Current Trading Name(s)
If you wish to delete a trading name of the firm please enter the following
details, otherwise please proceed to Section 4.
Trading name to be deleted
Please confirm when the trading name must cease
/
/
I confirm that the above trading name will not be used by the firm
from the date indicated above
Yes
Trading name to be deleted
Please confirm when the trading name must cease
/
/
I confirm that the above trading name will not be used by the firm
from the date indicated above
Yes
Trading name to be deleted
Please confirm when the trading name must cease
/
/
I confirm that the above trading name will not be used by the firm
from the date indicated above
Yes
Trading name to be deleted
Please confirm when the trading name must cease
/
/
I confirm that the above trading name will not be used by the firm
from the date indicated above
Yes
4 Change Contact Details
FCA/PRA Firm Details Notification Release 2 March 2018 page 7
4
Change Contact Details
If you wish to change the contact details of the Complaints Officer or Primary
Compliance Contact please enter the following details, otherwise please
proceed to Section 5.
Please note that this will not change your approved person records. If you
want to change these records, please complete the appropriate Approved
Persons Form.
4.1 Please indicate which contact this change applies to. If you wish to
change the details for both please copy this form and record the
details for each on separate forms, unless the details are the same.
Complaints Officer
Primary Compliance Contact
Title
Forename(s)
Surname
Job title
Email address
Phone number.
This must be a
direct dialled
number.
Fax number
4.2 Please enter the date on which the change becomes effective
/
/
Address
Postcode
4.3 If you would also like the contact details of the following to be
changed, please tick the appropriate boxes. This will amend the
contact details in line with the changes recorded above.
Complaints Contact
Primary Compliance Contact
5 Change of Address
FCA/PRA Firm Details Notification Release 2 March 2018 page 8
5a
Change of Address
5.1 Please indicate which of the following this change applies to. If you
wish to change the details for more than one of the following please
copy this form and record the details for each on separate forms,
unless the details are the same.
Registered Office
Principal Place of Business
Billing Address
Publication Address
Head Office
CIS UK Facilities Address
Motor claims representative
UK Branch Address
5.2 Please enter the new address details
Address
Postcode
Telephone
number
Fax number
Email address
5.3 Please enter the date on which the change becomes effective
/
/
5.4 Contact Address Details
Complaints Address
Principal Compliance Address
5 Change of Address
FCA/PRA Firm Details Notification Release 2 March 2018 page 9
5b
Change of Other Address
5.5 Please indicate which of the following this change applies to. If you
wish to change the details for more than one of the following please
copy this form and record the details for each on separate forms,
unless the details are the same.
3
rd
Party Administration
Actuary
Customer Services
EEA Branch Address
Firm Association Branch
Professional Advisor
5.6 Please enter the new address details
Address
Postcode
Telephone
number
Fax number
Email address
5.7 Please enter the date on which the change becomes effective
/
/
6 Change of Accounting Reference date
FCA/PRA Firm Details Notification Release 2 March 2018 page 10
6
Change of Accounting Reference date
6.1 Please enter the following details to change your accounting
reference date
Current Accounting Reference Date (dd/mm)
/
New Accounting Reference Date (dd/mm)
/
6.2 What accounting periods will result from the change? The new
accounting reference date that you have entered could result in
several different periods depending on whether you want to extend
or reduce your periods and which period is the first period affected.
Although the FCA or PRA may accept accounting periods of up to 18
months, SUP 16.3.18G advises firms that accounting periods longer than
15 months may be deemed unacceptable as this may hinder the timely
provision of relevant and important information to the FCA or PRA. If a
firm wishes to have an accounting period of longer than 18 months (sole
traders and certain partnerships), the firm must apply to the FCA in
writing.
Please detail the start and end dates for the current accounting period
and the two following periods below:
Current Period
From
/
/
To
/
/
Next Period
From
/
/
To
/
/
Next Period 2
From
/
/
To
/
/
Note the change that you have requested will result in a change to your
reporting timetable.
I confirm the change requested above and that it is correctly
represented by the accounting periods listed.
7 Change of Website Address
FCA/PRA Firm Details Notification Release 2 March 2018 page 11
7
Change of Website Address
7.1 Please enter the new website address (format www.fca.org.uk )
8 Change Auditor Details
FCA/PRA Firm Details Notification Release 2 March 2018 page 12
8
Change Auditor Details
8.1 Please enter the following details to change your Auditor’s details
Firm name
Address
Postcode
Telephone
number
Fax Number
Email address
8.2 Effective date
/
/
9 Change Locum Details
FCA/PRA Firm Details Notification Release 2 March 2018 page 13
9
Change Locum Details
9.1 Please enter the following details to change your Locum’s details
Title
Forename(s)
Surname
Firm name
Address
Postcode
Telephone
number
Fax Number
Email address
9.2 Effective date
/
/
10 Declaration and signatures
FCA/PRA Firm Details Notification Release 2 March 2018 page 14
10
Declaration and signatures
Warning
Knowingly or recklessly giving the FCA or PRA information, which is false or
misleading in a material particular, may be a criminal offence (sections 398 and
400 of the Financial Services and Markets Act 2000). SUP 15.6.4R requires an
authorised person to take reasonable steps to ensure the accuracy and
completeness of information given to the FCA or PRA and to notify the FCA or
PRA immediately if materially inaccurate information has been provided.
Contravention of these requirements may lead to disciplinary sanctions or other
enforcement action by the FCA or PRA. It should not be assumed that
information is known to the FCA or PRA merely because it is in the public domain
or has previously been disclosed to the FCA or PRA or another regulatory body.
If you are not sure whether a piece of information is relevant, please include it
anyway.
Data Protection
For the purposes of complying with the Data Protection Act, the personal
information in this form will be used by the Financial Conduct Authority and the
Prudential Regulation Authority to discharge their statutory functions under the
Financial Services and Markets Act 2000 and other relevant legislation. It will not
be disclosed for any other purposes without the permission of the applicant.
Declaration
By submitting this notification form:
I/we confirm that the information contained in this form is accurate and
complete to the best of my knowledge and belief and that I have taken
all reasonable steps to ensure that this is the case.
I am/we are aware that it is a criminal offence knowingly or recklessly to
give the FCA or PRA
information that is false or misleading in a material particular.
I/we confirm that, for those questions that do not require supporting
evidence, the records which demonstrate the firm's compliance with the
rules in relation to the questions will be available to the FCA or PRA on
request.
I/we will notify the FCA or PRA immediately if there is a significant
change to the information given in the form. If I/we fail to do so, this
may result in enforcement action.
10 Declaration and signatures
FCA/PRA Firm Details Notification Release 2 March 2018 page 15
Signature one Signature two
Name
1
Position
2
Individual
Reference
Number (IRN)
Signature
Date
dd/mm/yy
dd/mm/yy
1
For a sole trader, the signature of the principal is required
For a limited company, the signature of two directors or one director and the company
secretary is required.
2
For a partnership, the signature of at least one partner is required. e.g. director, partner
or sole trader
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