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Application provision

1.1 Unless otherwise stated, this Part applies to every firm and Chapter 8 applies only to a BRRD undertaking.

5.1

19/06/2014

A firm must give the PRA reasonable advance notice of a change in any of the following names, and give details of the new name and the date of the change:

  1. (1) the firm’s name (which is the registered name if the firm is a body corporate); and
  2. (2) any business name under which the firm carries on a regulated activity or ancillary activity either from an establishment in the UK or with or for clients in the UK,

in each case by submitting the form referred to in 10.2 (Standing Data Form).

5.2

19/06/2014

A firm must give the PRA reasonable advance notice of a change in any of the following addresses, and give details of the new address and the date of the change:

  1. (1) the firm’s principal place of business in the UK; and
  2. (2) in the case of an overseas firm, its registered office (or head office) address,

in each case by submitting the form referred to in 10.2 (Standing Data Form).

5.3

19/06/2014

A firm must give the PRA reasonable advance notice of a change in any of the following telephone numbers, and give details of the new telephone number and the date of the change:

  1. (1) the number of the firm’s principal place of business in the UK; and
  2. (2) in the case of an overseas firm, the number of its head office,

in each case by submitting the form referred to in 10.2 (Standing Data Form).

5.4

19/06/2014

A firm must notify the PRA immediately if it becomes subject to or ceases to be subject to the supervision of any overseas regulator (including a Home State regulator).

5.5

19/06/2014

  1. (1) A firm other than a credit union must submit the forms required in 5.1 to 5.3 online using the ONA system.
  2. (2) Where a firm is obliged to submit a notice online under (1), if the ONA system fails and online submission is unavailable for 24 hours or more, until such time as facilities for online submission are restored:
    1. (a) a firm must submit any notice required by 5.1 to 5.3 in the way set out in 7.4 to 7.6; and
    2. (b) the rules in relation to non-compliance with rules by a firm in the case of an emergency do not apply.