DocPDF Sharing Community - File Manager - PDF Files

image

EEA Branch Form N otification

eea branch form n otification of intention to establish a branch in another eea state (excluding the payment services directive an
30 Nov, 2022
Date
322.22 KB
Size
2459
Views
1469
Downloads
A
Pic
Pic
Pic
S
Pic
P
Pic
+42

Start relevant disscusion about this document:

Preview PDF

Showing preview pdf file

Drop related files here or click to upload.

Upload up to 10 files

Related Files

Showing 7 files
Icon
TO THE BRANCH MANAGER UNION BANK OF INDIA
to, the branch manager, union bank of india, branch, dear sir, [ application cum undertaking for “u
Icon
FINANCING COMPANY – BRANCH OFFICE INFORMATION SHEET OF THE
financing company – branch office information sheet of the proposed □ branch □ extension □ agency □ unit i. corporat
Icon
AESTHETICS ARTHUR C DANTO I INTRODUCTION AESTHETICS BRANCH OF
aesthetics arthur c. danto i. introduction aesthetics, branch of philosophy concerned with the essence and per
Icon
KARNATAKA BANK LIMITED (REGD & HO MANGALORE575 002) BRANCH
karnataka bank limited (regd. & h.o. mangalore575 002) branch 575 002) request letter to enable/disabl
Icon
APPLICATION COVER LETTER (FEDERAL AGENCY OR LIMITED FEDERAL BRANCH
application cover letter (federal agency or limited federal branch conversion) date director for district licensing northeastern
Icon
NJ MERGED BRANCH 38 NALC MODIFIED INTERIM ALTERNATE ROUTE
nj merged branch 38, nalc modified interim alternate route adjustment process carrier consultation check list the consultation with
Icon
NEWS COLORADO JUDICIAL BRANCH MARY J MULLARKEY CHIEF JUSTICE
news colorado judicial branch mary j. mullarkey, chief justice gerald marroney, state court administrator sept. 28, 2004 for i
Sharing community where you can transfers and download files. At present more than 1.000.000 documents are submitted to our system. Do you need us to host your document? You can upload documents for a free. Invite DocPDF Collaboratorsto create great outstanding read to read community.
- Followers
- @DocPDF
- #DocPDF
SPREAD KNOWLEDGE - SHARE IT! Copy and paste the link wherever you want and start sharing!
Link:

Transcript

EEA Branch Form
N otification of intention to establish a branch in another EEA
state (excluding the Payment Services Directive and Electronic Money
Directive)
FIRM NAME:  
FRN:  
Purpose of this form
You should complete this form if you are a UK firm that wishes to
exercise a passport right to establish your first establishment in a
particular EEA State. You should also use this form if you are a UK
firm that wishes to notify us – the regulator – of changes to the
details of your current branch.

Important information you should read before completing this form
A UK firm can only use this form if it is entitled to establish a
branch in another EEA State subject to the conditions of a relevant single
market directive (see Schedule 3A of the Financial Services and
Markets Act 2000 (FSMA)). By completing this form, you are confirming
this is the case. UK firms should consult the legislation or take
their own legal advice both in the UK and in the relevant EEA State(s)
if they are in any doubt.
We give guidance on this in the Supervision manual (SUP). In
particular, a UK firm that wants to exercise an EEA right must have
the specific activity included in its Scope of Permission (unless the
UK firm is a subsidiary of a firm which is a credit institution that
meets the criteria set out in the Banking Directive).
Filling in the Form
1.
If you are using your computer to complete the form, use the TAB
key to move from question to question and press SHIFT TAB to move
back to the previous question. Once completed, print the relevant
sections and sign the declaration in section 10.
2.
If you are filling in the form by hand, use black ink, write
clearly and, once you have completed the relevant sections, sign
the declaration in section 10.
3.
All firms should answer sections 1, 2 and 10. Sections 39 refer
to specific directives and only relevant sections should be
completed. However, please answer all questions in the sections
relevant to you.
4.
If there is not enough space on the form, you may need to use
separate sheets of paper. Clearly mark each separate sheet of
paper with the relevant question number.
If solo regulated send to: If dual regulated send to:
Financial Conduct Authority The Prudential Regulation Authority
25 The North Colonnade 20 Moorgate
Canary Wharf London
London EC2R 6DA
E14 5HS
Telephone: +44 (0)20 7066 7188 Telephone: +44(0)20 361 7000
Website: www.fca.org.uk Website: www.bankofengland.co.uk
Email: [email protected] Email:
[email protected]
In this form the FSA
uses the following terms:
‘FSA', ‘we’, 'our', or ‘us’ refers to the Financial Services
Authority;
‘Applicant firm’ refers to the firm applying for authorisation; and
‘You’ refers to the person(s) signing the form on behalf of the
controller.
Purpose of this form
This appendix collects information about the controller of the
applicant firm.
Filling in the form
1 If you are using your computer to complete the form:
*
use the TAB key to move from question to question and press SHIFT
TAB to move back to the previous question; and
*
print out the completed form and sign the declaration in section
3.
2 If you are filling in the form by hand:
*
use black ink;
*
write clearly; and
*
sign the declaration in section 3.
3 If you leave a question blank or do not sign the declaration or do
not attach the required supporting information and do not tell us why,
we will have to treat the application as incomplete, which will
increase the time taken to assess this application.
4 If there is not enough space on the forms, you may need to use
separate sheets of paper. Clearly mark each separate sheet of paper
with the relevant question number.
 

s dasdasdsadsadasdasdasdasdsads

1
Contact details
1.
Details of the person we will contact about this application

Firm reference number †

 

Title †

 

Contact name†

 

Address Line 1†

 

Address Line 2†

 

Postcode†

 

Country†

 

Telephone number†

 

Fax number†

 

Email address†

 

2
Details about the branch
2.1 Please indicate the EEA State in which you wish to establish a
branch.

EEA State †

 

2.2 Please provide the address in the EEA State in which the branch
will be established and from which we can get information about the
business. †

Address: †
 

Telephone number: †  

Fax number: † 

2.3 Please list the names of all managers of the branch (including
main agents in respect of insurance applications). †

Title

Forenames

Surname

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

2.4 Tell us the proposed date for the business to start at the branch.


Date

 dd/mm/yy

3
Insurance Mediation Directive (IMD)
3.1 Please confirm that the UK firm wishes to passport under the IMD
by ticking the box below. †

The firm intends to carry on insurance mediation in the EEA State
identified in section 2 by establishing a branch.

4
Markets in Financial Instruments Directive ('MiFiD')
EEA State
Investment services and activities
Ancillary services
1
2
3
4
5
6
7
8
1
2
3
4
5
6
7
Financial Instruments
1
2
3
4
5
6
7
8
9
10
4

Please refer to page 6 for a full description of MiFID Services and
activities.
UK Firms that intend to use a Tied Agent established in the territory
of another EEA state are required to complete Annex 1 at the end of
this form and tick the appropriate boxes below to show the investment
services to be provided by the tied Agent.
§Please refer to MiFID Article 23(1) for details of the activities
that my be provided by a tied agent
.1 Please tick the appropriate boxes to show the investment services
your firm will provide, together with the associated instruments. †
Tied Agent §
Investment services and activities
Ancillary services
1
2
3
4
5
6
7
8
1
2
3
4
5
6
7
Financial Instruments
1
2
3
4
5
6
7
8
9
10

Investment services and activities

(1) Reception and transmission of orders in relation to one or more
financial instruments

(2) Execution of orders on behalf of clients

(3) Dealing on own account

(4) Portfolio management

(5) Investment advice

(6) Underwriting of financial instruments and/or placing of financial
instruments on a firm commitment basis

(7) Placing of financial instruments without a firm commitment basis

(8) Operation of Multilateral Trading Facilities

Ancillary services

(1) Safekeeping and administration of financial instruments for the
account of clients, including custodianship and related services such
as cash/collateral management

(2) Granting credits or loans to an investor to allow him to carry out
a transaction in one or more financial instruments, where the firm
granting the credit or loan is involved in the transaction

(3) Advice to undertakings on capital structure, industrial strategy
and related matters and advice and services relating to mergers and
the purchase of undertakings

(4) Foreign exchange services where these are connected to the
provision of investment services

(5) Investment research and financial analysis or other forms of
general recommendation relating to transactions in financial
instruments

(6) Services related to underwriting

(7) Investment services and activities as well as ancillary services
of the type included under Section A or B of Annex 1 related to the
underlying of the derivatives included under Section C – 5, 6, 7 and
10 where these are connected to the provision of investment or
ancillary services

Financial Instruments

(1) Transferable securities
(2) Moneymarket instruments
(3) Units in collective investment undertakings

(4) Options, futures, swaps, forward rate agreements and any other
derivative contracts relating to securities, currencies, interest
rates or yields, or other derivatives instruments, financial indices
or financial measures which may be settled physically or in cash

(5) Options, futures, swaps, forward rate agreements and any other
derivative contracts relating to commodities that must be settled in
cash or may be settled in cash at the option of one of the parties
(otherwise than by reason of a default or other termination event)

(6) Options, futures, swaps, and any other derivative contract
relating to commodities that can be physically settled provided that
they are traded on a regulated market and/or an MTF

(7) Options, futures, swaps, forwards and any other derivative
contracts relating to commodities, that can be physically settled not
otherwise mentioned in C.6 and not being for commercial purposes,
which have the characteristics of other derivative financial
instruments, having regard to whether, inter alia, they are cleared
and settled through recognised clearing houses or are subject to
regular margin calls

(8) Derivative instruments for the transfer of credit risk

(9) Financial contracts for differences

(10) Options, futures, swaps, forward rate agreements and any other
derivative contracts relating to climatic variables, freight rates,
emission allowances or inflation rates or other official economic
statistics that must be settled in cash or may be settled in cash at
the option of one of the parties (otherwise than by reason of a
default or other termination event), as well as any other derivative
contracts relating to assets, rights, obligations, indices and
measures not otherwise mentioned in this Section, which have the
characteristics of other derivative financial instruments, having
regard to whether, inter alia, they are traded on a regulated market
or an MTF, are cleared and settled through recognised clearing houses
or are subject to regular margin calls

4.2 Please give details of the firm's programme of operations.
Describe the particular EEA activities your firm will carry on and the
structural organisation of the branch†

(This summary should be completed in English. In some instances, where
requested by the host Member State, we may ask you to provide an
additional copy translated into the language of the host Member State,
for onward transmission to the Competent Authority of that state).
Requirement
Response
1. Corporate strategy †
a) How will the branch contribute to the strategy of the firm/group?
b) What will the main functions of the branch be?
 
2. Commercial Strategy †
a) Describe the types of customers/counterparties the branch will be
dealing with
b) Describe how the firm will obtain and deal with these clients
 
3. Organisational structure †
a) Briefly describe how the branch fits into the corporate structure
of the firm/group? (This may be facilitated by attaching an
organisational chart)
b) Set out the organisational structure of the branch, showing both
functional and legal reporting lines
c) Which individual will be responsible for the branch operations on a
day to day basis?
d) Which individual will be responsible for compliance at the branch?
e) Which individual will be responsible for dealing with complaints in
relation to the branch?
f) How will the branch report to the head office?
g) Detail any critical outsourcing arrangements †
 
4. Tied Agents †
a.
Will the branch use tied agents?
b.
If the information is available, what is the identity of the tied
agents? (Annex 1)
c) What investment services and activities will be provided by the
tied agent?
 
5. Systems & Controls †
Provide a brief summary of arrangements for:
a.
Safeguarding client money and assets
b.
Compliance with the conduct of business and other obligations that
fall under the responsibility of the host state competent
authority according to MiFID Article 32(7) and record keeping
under Article 13(9)
c.
Code of Conduct, including personal account dealing
d.
Antimoney laundering
e.
Monitoring and control of critical outsourcing agreements (if
applicable)
 
6. Auditor details †
Details of the audit arrangements of the branch (including where
applicable, details of the external auditor)
 
7. Profit & loss forecast †
Attach a forecast statement for profit & loss and cashflow, both over
a 12 month period.
 
5
Banking Directive
5

Note to Question 5.1
The box marked § should only be completed by UK credit institutions
wishing to passport investment services and activities and ancillary
services provided for by the extended scope of MiFiD with effect from
1 November 2007.
.1 Please tick the appropriate boxes to show the activities to be
provided. †
Activity
1
Acceptance of deposits and other repayable funds
2
Lending, including, inter alia, consumer credit, mortgage credit,
factoring, with or without recourse, and financing of commercial
transactions (including forfeiting)
3
Financial leasing
4
Payment services as defined in Article 4(3) of Directive 2007/64/EC of
the European Parliament and of the Council of 13 November 2007 on
payment services in the internal market
5
Issuing and administering other means of payment (e.g. travellers'
cheques and bankers' drafts) insofar as this activity is not covered
by point 4
6
Guarantees and commitments
7
Trading for own account or for account of customers in:
(a) money market instruments (cheques, bills, certificates of deposits
etc)
(b) foreign exchange
(c) financial futures and options
(d) exchange and interestrate instruments
(e) transferable securities
8
Participation in securities issues and the provision of services
related to such issues
9
Advice to undertakings on capital structure, industrial strategy, and
related questions and advice and services relating to mergers and the
purchase of undertakings
10
Money broking
11
Portfolio management and advice
12
Safekeeping and administration of securities
13
Credit reference services
14
Safe custody services
15
Issuing electronic money
§
Additional MiFID services and activities subject to mutual recognition
under the Banking Directive
§ See separate matrix on next page

EEA State†
Investment services and activities
Ancillary services
1
2
3
4
5
6
7
8
1
2
3
4
5
6
7
Financial Instruments
1
2
3
4
5
6
7
8
9
10

Please refer to page 6 for a full description of MiFID investment
services activities and instruments.
UK firms that intend to use a tied agent established in the territory
of the host state are required to complete 'Annex 1' at the end of
this form and tick the appropriate boxes below to show the investment
services to be provided by the tied Agent. §
§Please refer to MiFID Article 23(1) for details of the activities
that my be provided by a tied agent
EEA State §
Investment services and activities
Ancillary services
1
2
3
4
5
6
7
8
1
2
3
4
5
6
7
Financial Instruments
1
2
3
4
5
6
7
8
9
10

5.2 Please give details of the firm's programme of operations.
Describe the particular EEA activities your firm will carry on and the
structural organisation of the branch†

(This summary should be completed in English. In some instances, where
requested by the host Member State, we may ask you to provide an
additional copy translated into the language of the host Member State,
for onward transmission to the Competent Authority of that state).
Requirement
Response
1. Business Plan †
a.
How will the branch contribute to the overall strategy of the
institution/group?
b.
What will be the main objectives and functions of the branch?
c.
Describe the types of customers/counterparties the branch will be
dealing with
d.
Describe how the institution will obtain and deal with these
customers/clients
 
2. Organisational structure †
a.
Briefly describe how the branch fits into the corporate structure
of the group
b.
Description of the administrative structure of the branch (number
of business units/premises; number of employees; organisational
chart, showing both functional and legal reporting lines)
c.
Details of the branch manager(s) – CV(s) to be supplied
d.
Details of any direct business relations (clients, partners,
counterparties) and conditions under which they operate
e.
Details of links with administrative and IT systems of the head
office
f.
Details of links with internal control system of the head office
 
3. Systems & Controls †
a.
Measures for supervising risk management procedures (includes
credit/market/operational/liquidity)
b.
Powers of the branch in respect of granting credit facilities
c.
Details of the audit arrangements of the branch (including where
applicable details of the external auditor)
d.
antimoney laundering procedures (including the name of the AML
compliance officer)
e.
monitoring and control of critical outsourcing arrangements (if
applicable)
 
4. Financial information
Attach a forecast for over at least a 12 months period, of material
items of the Balance Sheet and Profit and Loss.
 
5 Investment activities (if applicable) †
*
Provide details of arrangements for:
*
safeguarding client money and assets
*
compliance with the conduct of business and other obligations that
fall under the responsibility of the Competent Authority of the
host Member State according to MiFID Article 32(7) and record
keeping under MiFID Article 13(9)
*
code of conduct, including personal account dealing
*
Provide details of the individual who will be responsible for
compliance of the branch
*
Provide details of the individual responsible for dealing with
complaints in relation to the investment activities of the branch
 
6
Consolidated Life Assurance Directive
6

Note to Question 6.1
For the purpose of this form, 'authorised agent' means an agent or
employee of the insurance undertaking who has authority (a) to bind
the insurance undertaking in its relations with third parties and (b)
to represent the insurance undertaking in its relations with overseas
regulators and courts in the EEA State of the branch.
.1 Please provide the name of the UK firm's authorised agent. If the
firm is a member of Lloyd's, please also confirm that the authorised
agent has power to accept service of proceedings on behalf of Lloyd's.

Name of agent †

 

If applicable, confirmation that agent has power to accept service of
proceedings on behalf of Lloyd’s †

6.2 Please tick the appropriate boxes to show the classes of business
to be provided. †

Classes of Business
I
Life and Annuity
II
Marriage and Birth
III
Linked Long Term
IV
Permanent Health
V
Tontines
VI
Capital redemption
VII
Pension Fund Management
VIII
Collective Insurance
IX
Social Insurance
6.3 Please give details of the nature of the commitments to be covered
in the EEA State concerned. †

 

6.4 Please give details of the structural organisation of the branch
(you may wish to attach an organisation chart). †

 

6.5 Please give details of the guiding principles for reinsurance of
business carried on, or to be carried on, in the EEA State concerned.
This should include the firm's maximum retention per risk or event
after all reinsurance is ceded†

 

6.6 Please confirm you have attached the following. †

i.
Estimates of the costs of installing administrative services and
the organisation for securing business in the EEA State concerned.

Attached

ii.
Estimates of the resources available to cover the costs detailed
in (i) above.

Attached

iii.
For each of the first three years following the establishment of
the branch, estimates of the firm's margin of solvency and the
margin of solvency required and the method of calculation.

Attached

iv.
For each of the first three years following the establishment of
the branch, the details described below with regards to the
business carried on in the EEA State concerned (this information
should be provided on both optimistic and pessimistic bases, for
each type of contract or treaty):

a.
the number of contracts or treaties expected to be issued;

b.
the total premium income, both gross and net of reinsurance
ceded; and

c.
the total sums assured or the total amounts payable each year
by way of annuity.

Attached

Attached

Attached

viii.
For each of the first three years following the establishment of
the branch, the details described below with regards to the
business carried on in the EEA State concerned:

a.
a statement setting out, on both optimistic and pessimistic bases,
detailed estimates of income and expenditure for direct business,
reinsurance acceptances and reinsurance cessions; and

b.
a statement of estimates relating to the financial resources
intended to cover underwriting liabilities.

Attached

Attached

vi. Particulars of any associations that exist or are proposed to
exist between:

a.
the directors and controllers of the UK firm; and

b.
any person who will act as an insurance broker, agent, loss
adjuster or reinsurer for the UK firm in the EEA State
concerned.

Attached

Attached

vii. The names of the principal reinsurers of business to be carried
on in the EEA State concerned.

Attached

viii The sources of business in the EEA State concerned (for example,
insurance brokers, agents, own employees or direct selling) with the
approximate percentage expected from each of those sources.

Attached

ix. Copies or drafts of:

a.
any separate reinsurance treaties covering business to be written
in the EEA State concerned;

b.
any standard agreements which the UK firm will enter into with
brokers or agents in the EEA State concerned; and

c.
any agreements which the UK firm will enter into with persons
(other than employees of the UK firm) who will manage the business
to be carried on in the EEA State concerned.

Attached

Attached

Attached

x. The technical bases that the actuary appointed in accordance with
SUP 4.3.1R proposes to use for each class of business to be carried on
in the EEA State concerned, including the bases needed for calculating
premium rates and mathematical reserves.

Attached

xi. A statement by the actuary so appointed as to whether:

a.
he considers that the premium rates that will be used in the EEA
State concerned are suitable; and

b.
he agrees with the information provided under sections 6.5 and 6.6
v (a) and (b).

Attached

Attached

xii. The technical bases used to calculate the statements and
estimates referred to in sections 6.6 iv and v.

Attached

7
First, Second and Third NonLife Insurance Directives
7.1 Please provide the name of UK firm's authorised agent. If the firm
is a member of Lloyd's, please confirm that the authorised agent has
power to accept service of proceedings on behalf of Lloyd's. †

Name of agent †

 

If applicable, confirmation that agent has power to accept service of
proceedings on behalf of Lloyd's †

7.2 Please tick the appropriate boxes to show the classes of business
to be carried out from the branch. †

Classes of Business
1
Accident
2
Sickness
3
Land Vehicles
4
Railway Rolling Stock
5
Aircraft
6
Ships
7
Goods in Transit
8
Fire and Natural Forces
9
Damage to Property
10
Motor Vehicle Liability
11
Aircraft Liability
12
Liability for Ships
13
General Liability
14
Credit
15
Suretyship
16
Miscellaneous Financial Loss
17
Legal Expenses
18
Assistance
7.3 Please give details of the nature of the risks to be covered in
the EEA State(s) concerned. †



Note to question 7.3
i.
If the firm covers, or intends to cover, relevant motor vehicle
risks, please provide details of the firm's membership of the
national bureau and the national guarantee fund in the EEA State
concerned at question 7.3.
'Relevant motor risks' has the meaning given to motor vehicle
liability in Schedule 1 to the Regulated Activities Order.
ii.
If the firm covers (or intends to cover) health insurance, please
provide the technical bases used, or to be used, for calculating
premiums in respect of such risks in question 7.3.
iii.
If the firm covers (or intends to cover) risks relating to legal
expenses insurance, please state, in question 7.3, the option
chosen from those described in Article 3(2) of Directive
87/344/EEC of 22 June 1987 on the coordination of laws,
regulations and administrative provisions relating to legal
expenses insurance.

7.4 Please give details of the structural organisation of the branch (UK
firms may wish to attach an organisation chart). †

 

7.5 Please give details of the guiding principles as to reinsurance of
business carried on, or to be carried on, in the EEA State concerned,
including the firm's maximum retention per risk or event after all
reinsurance ceded. †

 

7.6 Please confirm you have attached the following. †

i.
Estimates of the costs of installing administrative services and
the organisation for securing business in the EEA State concerned.

Attached

ii.
Estimates of the resources available to cover the costs detailed
in (i) above.

Attached

iii.
If contracts of a kind falling within paragraph 18 of Schedule 1
to the Regulated Activities Order (Assistance) are, or are to be,
effected or carried out, the resources available for providing
assistance.

Attached

iv.
For each of the first three years following the establishment of
the branch, estimates of the firm's margin of solvency and the
margin of solvency required and the method of calculation.

Attached

v.
For each of the first three years following the establishment of
the branch, give the details described below about the business
carried on in the EEA State concerned:

a.
estimates relating to expenses of management (other than cost of
installation) and, in particular, those relating to current
general expenses and commissions;

b.
estimates relating to premiums or contributions (both gross and
net of all reinsurance ceded) and to claims (after all reinsurance
recoveries); and

c.
estimates relating to the financial resources intended to cover
underwriting liabilities.

Attached

Attached

Attached

ix.
Particulars of any associations that exist or are proposed to
exist between:

a.
the directors and controllers of the UK firm; and

b.
any person who will act as an insurance broker, agent, loss
adjuster or reinsurer for the UK firm in the EEA State concerned.

Attached

x.
The names of the principal reinsurers of business to be carried on
in the EEA State concerned.

Attached

Continued over
7.6 continued†
xi.
The sources of business in the EEA State concerned (for example,
insurance brokers, agents, own employees or direct selling) with
the approximate percentage expected from each of these sources.

Attached

xii.
Copies or drafts of:

a.
any separate reinsurance treaties covering business to be written
in the EEA State concerned;

b.
any standard agreements which the UK firm will enter into with
brokers or agents in the EEA State concerned; and

c.
any agreements which the UK firm will enter into with persons
(other than employees of the UK firm) who will manage the business
to be carried on in the EEA State concerned.

Attached

Attached

Attached

xvi.
Copies or drafts of any agreements which the UK firm will have
with main agents in the EEA State concerned.

Attached

8
Reinsurance Directive
8.1 Please confirm the type(s) of reinsurance activity to be carried
out by the branch under the Reinsurance Directive by ticking one of
the boxes below. †

Life reinsurance business

Nonlife reinsurance business

8.2 Please provide the name and powers of the authorised agent. Please
note that the authorised agent should be located at the same address
of branch. †

 

9
Undertakings for Collective Investment in Transferable Securities
Management of UCITS

Management of portfolios of investments, including those owned by
pension funds, in accordance with mandates given by investors on a
discretionary, clientbyclient basis, where those portfolios include
one or more of the instruments listed in Section C of Annex I to MiFID.

Investment advice concerning one or more of the instruments listed in
Section C of Annex I to MiFID.

Safekeeping and administration in relation to units of collective
investment undertakings.
9.1 You must select those activities that you wish to carry out under
the UCITS Directive as listed in article 6(2) and (3) of the UCITS
Directive.

9.2 Please give details of the firm's programme of operations

Note to Question 9.2
Provide a programme of operations setting out the activities and
services envisaged according to article 6(2) and (3) and the
organisational structure of the branch which must include a
description of the risk management process.
Provide also a description of the procedures and arrangements for
dealing properly with investor complaints, including how it is ensured
that there are no restrictions on investors exercising such rights and
the arrangements for making information available at the request of
the public or the competent authority of the UCITS Home State;
For a suggested template firms may adhere to question 4.2 when
preparing a programme of operations
 

Note: Other Requirements for UCITS management companies
In addition to the submission of this notice to the PRA/FCA,
management companies should note, where the application is to manage a
UCITS in another EEA State, they will be required by the rules of the
competent authority of the UCITS Home State implementing article 20 of
the UCITS Directive to provide them with:
(1) the written agreement that has been entered into with the
depositary; and
(2) information on delegation arrangements regarding the functions of
investment management and administration, as referred to in Annex II
to the UCITS Directive.
If the management company already manages other UCITS of the same type
as the company is proposing to manage in the the UCITS Home State,
article 20 provides that reference to the documentation already
provided shall be sufficient for the purposes of (1) and (2).
9
 

.3 Please confirm if the information referred to above has been
submitted to the competent authority of the UCITS Home State. If it
has not been submitted or if article 20 is not applicable please
explain why, including (if applicable) when it is expected that the
information will be provided.
10
Declaration
Note to Declaration
If you are submitting this notification electronically you do not need
to provide a signature here. However, you still need to have the
authority to make this notification on behalf of the firm.
It is a criminal offence to knowingly or recklessly give us
information that is false or misleading. If necessary, please take
appropriate professional advice before supplying information to us.

There will be a delay in processing the application if any information
is inaccurate or incomplete. And failure to notify us immediately of
any significant change to the information provided may result in a
serious delay in the application process.
 I understand it is a criminal offence knowingly or recklessly to
give the FCA/PRA information that is false or misleading in a material
particular.

 I confirm that the information in this form is accurate and complete
to the best of my knowledge and belief.

 I confirm that I am authorised to sign on behalf of the firm.

Name†

 

Position†

 

Signature*

Date†

dd/mm/yy

I enclose the following sections (mark the appropriate section) *

Section 1 – Contact Details (mandatory)
Section 2 – Details about the branch (mandatory)
Section 3 – Insurance Mediation Directive
Section 4 – Markets in Financial Instruments Directive
Section 5 – Banking Consolidation Directive
Section 6 – Consolidated Life Assurance Directive
Section 7 – First, Second and Third NonLife Insurance
Directives
Section 8 – Reinsurance directive
Section 9 Undertakings for Collective Investments in Transferable
Securities
Section 10 – Declaration (mandatory)
ANNEX 1 – Tied Agent Notification Form
This form should be used to notify FCA when a UK firm intends to use a
tied agent established in the territory of another EEA state.
Tied Agent Details
 
1 Name of Tied Agent†
 
2 Address of Tied Agent†
 
3 Trading name(s) of Tied Agent, if different to the name given in
question 1 above†
 
4 Telephone number of Tied Agent†
 
5 Fax number of Tied agent†
 
6 Email address of Tied Agent†
 
7 Website of Tied Agent†
8 Legal Status of Tied Agent† Private Limited Company Public Limited
Company
Partnership Limited Partnership
Limited Liability Unincorporated Association
Sole Trader Other, please specify below
 
 
9 Date of commencement of agreement
With your firm†
† These questions should be completed whether submission of this form
is online or in one of the other ways set out in SUP 15.7
† These questions should be completed whether submission of this form
is online or in one of the other ways set out in SUP 15.7
† These questions should be completed whether submission of this form
is online or in one of the other ways set out in SUP 15.7
† These questions should be completed whether submission of this form
is online or in one of the other ways set out in SUP 15.7A
† These questions should be completed whether submission of this form
is online or in one of the other ways set out in SUP 15.7
† These questions should be completed whether submission of this form
is online or in one of the other ways set out in SUP 15.7
† These questions should be completed whether submission of this form
is online or in one of the other ways set out in SUP 15.7
† These questions should be completed whether submission of this form
is online or in one of the other ways set out in SUP 15.7
† These questions should be completed whether submission of this form
is online or in one of the other ways set out in SUP 15.7
† These questions should be completed whether submission of this form
is online or in one of the other ways set out in SUP 15.7
† These questions should be completed whether submission of this form
is online or in one of the other ways set out in SUP 15.7
† These questions should be completed whether submission of this form
is online or in one of the other ways set out in SUP 15.7
† These questions should be completed whether submission of this form
is online or in one of the other ways set out in SUP 15.7
† These questions should be completed whether submission of this form
is online or in one of the other ways set out in SUP 15.7
† These questions should be completed whether submission of this form
is online or in one of the other ways set out in SUP 15.7
† These questions should be completed whether submission of this form
is online or in one of the other ways set out in SUP 15.7
† These questions should be completed whether submission of this form
is online or in one of the other ways set out in SUP 15.7
* These questions should only be completed if the form is being
submitted in one of the ways set out in SUP 15.7 other than online
submission. It should not be completed if the submission of this form
is online
† These questions should be completed whether submission of this form
is online or in one of the other ways set out in SUP 15.7
 Passporting  Branch  Version 1  April 2013 page 0

More Files

Showing 20 files
Icon
APPLICATION FOR EMPLOYMENT A CV MAY BE ATTACHED BUT
application for employment a cv may be attached but should not be used as a substitute. the information provided on this application
Icon
SCATTERPLOT BEFORE YOU SPEND A LOT OF TIME DOING
scatterplot before you spend a lot of time doing anecdotal recording (abc) of a child, writing up your notes, analysing the results and mak
Icon
CLIMATIC VARIABILITY IN PRINCESS ELIZABETH LAND (EAST ANTARCTICA) OVER
climatic variability in princess elizabeth land (east antarctica) over the last 350 years alexey a. ekaykin1,2, diana o. vladimirova1,2*, vl
Icon
THINGS TO KNOW ABOUT BULLYWUGS (INCLUDING GRIPPLI) RELICS OF
things to know about bullywugs (including grippli) relics of a simpler epoch bullywug 3 terrain 4 weather 4 disasters
Icon
CHILDREN’S VILLAGE – PERSONAL SAFETY REVIEW GET THE WHOLE
children’s village – personal safety review get the whole family involved in this process 1. what are the children’s first names?
Icon
LIVE ACTION ENGLISH (LAE) LAE IS GREAT FOR LEVEL
live action english (lae) lae is great for level 1. it is tpr on a computer. the lessons and activities are based on the action english pic
Icon
TELIA ACE RELEASE NOTES ACE SOFTPHONE [EACH CHANGE DESCRIPTION
telia ace release notes ace softphone [each change description begins with a #. if the change has a cmsystem id this is shown after the #.
Icon
VLADIVOSTOK DECLARATION THE 9TH CONSULTATIVE COMMISSION MEETING OF THE
vladivostok declaration the 9th consultative commission meeting of the greater tumen initiative(gti) 15 november 2007, vladivostok, rus
Icon
3GPP TSGRAN WG2 MEETING 112 ELECTRONIC R220XXXXX ONLINE 2ND
3gpp tsgran wg2 meeting #112 electronic r220xxxxx online, 2nd – 13th november, 2020 agenda item: 8.13.3 mdt source: huawei (summary
Icon
R EFEREE REPORT FORM INSTRUCTIONS FOR REFEREES 1 THIS
r eferee report form instructions for referees 1. this form may be completed in msword or on a printed copy. 2.
Icon
AONTAS MÚINTEOIRÍ ÉIREANN TEACHERS’ UNION OF IRELAND AN APPROACH
aontas múinteoirí éireann teachers’ union of ireland an approach to discipline in schools draft
Icon
COLLEGE PREPARATORY COURSE PREREQUISITE REQUIREMENTS EFFECTIVE DATE ACADEMIC YEAR
college preparatory course prerequisite requirements effective date: academic year 20032004 four units of english: at least two units
Icon
DA 161274 RELEASED NOVEMBER 14 2016 ANNUAL DTV ANCILLARYSUPPLEMENTARY
da 161274 released: november 14, 2016 annual dtv ancillary/supplementary use services report for digital television stations (form 21
Icon
ROSTEC ADVANCED TECHNOLOGIES LTD תאריך טופס פרטים לצורך
rostec advanced technologies ltd. תאריך: טופס פרטים לצורך חישוב תאורה שם הפרוייקט:
Icon
IDE 150 DYNAMICS SPRING 2006 ASSIGNMENTS TEXT HIBBELER ENGINEERING
ide 150 dynamics spring 2006 assignments text: hibbeler, engineering mechanicsdynamics, 10th ed., prenticehall, 2003. lesson rea
Icon
CH 7 AFRICA & MESOAMERICA REVIEW SHEET DUE ON
ch 7 africa & mesoamerica review sheet due: on dec 4th name: date: define the foll
Icon
CITY QUAY NS 20212022 SCHOOL CALENDAR SEPTEMBER ‘21 SU
city quay ns 20212022 school calendar september ‘21 su m tu w th f s 1 2 3 4 5 6
Icon
PRACTICE CONSIDERATIONS FOR THE MUSICIAN SEAN MCGOWAN DMA UNIVERSITY
practice considerations for the musician sean mcgowan, dma university of colorado denver [email protected] challenges and
Icon
HOLIDAY FOOD AVAILABLE DECEMBER 23 DECEMBER 31 PLEASE
holiday food available december 23 december 31 please pre order appetizers: spanikopita (spinach and feta triangles) $12.95 dozen
Icon
MANAGING EVERY DAY TRANSITIONS IN SECONDARY SCHOOL FOR STUDENTS
managing every day transitions in secondary school for students with an asd conversation with matt (aged 14 with an asd) matt: “i got r