Future version
19/01/2019

Change in Control Forms

Application provision

1.1 (1) Unless otherwise stated, this Part applies to every firm except:

    1. (a) an incoming firm;
    2. (b) a non-directive friendly society; and
    3. (c) a UK ISPV.
  1. (2) Chapter 5 (Annual Controllers Report) does not apply to a credit union.
  2. (3) The PRA directs that Chapter 2 (Obligations on Controllers) applies to persons required to give to the PRA a section 178 notice or a notice under section 191D of FSMA.

6.1

03/08/2015

Future version
19/01/2019

The Controllers Form to be used by a limited company or limited liability partnership can be found here.

6.2

03/08/2015

Future version
19/01/2019

The Controllers Form to be used by a partnership is can be found here.

6.3

03/08/2015

Future version
19/01/2019

The Controllers Form to be used by an individual (other than in that individual’s capacity as a trustee, settler or beneficiary of a trust) can be found here.

6.4

03/08/2015

Future version
19/01/2019

The Controllers Form to be used by a person in their capacity as a trustee, settler or beneficiary of a trust can be found here.

6.5

03/08/2015

Future version
19/01/2019

The Controllers Form to be used by a person in their capacity as an investment manager can be found here.

6.6

03/08/2015

Future version
19/01/2019

The Annual Controllers Report can be found here.