Forms
| Part | Title of form | Description |
|---|---|---|
| Close Links | Close Links Notification Form | Application to submit a notification of a close link |
| Close Links | Close Links Monthly Report | Report to be submitted on a monthly basis |
| Close Links | Close Links Annual Report | Report to be submitted on an annual basis |
| Definition of Capital | Pre/Post Issuance Notification ((PIN) Form | Pre/Post Issuance Notification ((PIN) Form |
| Definition of Capital | CET1 Compliance Template | CET1 Compliance Template |
| Fitness and Propriety | Regulatory reference template | Form to be completed by all PRA-regulated firms (except small NDFs) when hiring individuals into certain functions. The form is to be exchanged between firms, not submitted to the PRA. |
| Notifications | Standing Data Form | Form to submit standing data to the PRA |
| Notifications | Notification Form | Form to notify the PRA about certain circumstances |
| Notifications | Form C | Notice of ceasing to perform controlled functions (including senior management functions) |
| Notifications | Form D | Changes to personal information/application details and conduct breaches/disciplinary action related to conduct |
| Notifications | Form L | Notification of disciplinary action in relation to an employee performing a certification function |
| Regulatory Reporting | Cover sheet | Cover sheet to be included with submission of data items |
| Regulatory Reporting | FSA005 | Market risk |
| Regulatory Reporting | FSA011 | Building society liquidity |
| Regulatory Reporting | FSA015 | Sectoral information, including arrears and impairment |
| Regulatory Reporting | FSA016 | Solo consolidation data |
| Regulatory Reporting | FSA017 | Interest rate gap report |
| Regulatory Reporting | FSA019 | Pillar 2 information |
| Regulatory Reporting | FSA038 | Volumes and type of business |
| Regulatory Reporting | FSA042 | UCITS |
| Regulatory Reporting | PRA109 | Form for operational continuity firms to submit annual operational continuity reporting to the PRA. |
| Regulatory Reporting | MLAR | Mortgage lenders and administrators return |
| Regulatory Reporting | Branch Return Form | undefined |
| Regulatory Reporting | RFB005 - Joint and several liability arising from taxes | Form to be completed by RFB on behalf of its sub-group to collect high level data on VAT and Bank Levy payable by both the group and the RFB sub-group. |
| Regulatory Reporting | RFB006 - Excluded activity entities | Form to be completed by RFB on behalf of its sub-group to collect data on amount of excluded activities conducted by RFB sub-group members. |
| Regulatory Reporting | RFB007 - Use of financial market infrastructures | Form to be completed by RFB on behalf of its sub-group to collect high level data on usage of FMIs by the RFB and the RFB sub-group members. |
| Regulatory Reporting | RFB002 - Intragroup funding | Form to be completed by the RFB sub-group to collect data on intragroup funding transactions. This is based on the COREP funding template. |
| Regulatory Reporting | RFB008 - Excluded activities and prohibitions | Form to be completed by individual RFBs to collect data on the RFBs use of exceptions. |
| Reporting Leverage Ratio | FSA083 Leverage Ratio template | For use from 1 January 2017 |
| Reporting Leverage Ratio | FSA084 Leverage Ratio - Transitional template | For use from 1 January 2016 |
| Reporting Pillar 2 | PRA111 | Pillar 2 ICAAP Stress Testing Data |
| Reporting Pillar 2 | FSA072 | Pillar 2 Operational risk historical losses |
| Reporting Pillar 2 | FSA073 | Pillar 2 Operational risk historical loss details |
| Reporting Pillar 2 | FSA074 | Pillar 2 Operational risk forecast losses |
| Reporting Pillar 2 | FSA075 | Pillar 2 Operational risk scenario data |
| Reporting Pillar 2 | FSA080 | Pillar 2 Market risk |
| Reporting Pillar 2 | FSA071 | Firm information and Pillar 2A summary |
| Reporting Pillar 2 | FSA078 | Pillar 2 Concentration risk minimum data requirements |
| Reporting Pillar 2 | FSA081 | Pillar 2 Pension risk |
| Reporting Pillar 2 | FSA082 | Pillar 2 Credit risk IRB retail |
| Reporting Pillar 2 | Pillar 2 Credit Risk Standardised Approach (Wholesale) | Form to be completed by firms in relation to wholesale portfolios of exposures for which capital requirements are calculated using the Standardised Approach to Credit Risk. |
| Reporting Pillar 2 | Pillar 2 Credit Risk Standardised Approach (Retail) | Form to be completed by firms in relation to retail portfolios of exposures for which capital requirements are calculated using the Standardised Approach to Credit Risk. |
| Reporting Pillar 2 | FSA079 | undefined |
| Senior Managers Regime - Applications and Notifications | Statement of responsibilities form | Statement of responsibilities form |
| Senior Managers Regime - Applications and Notifications | Form A (long form) | Application to perform senior management functions (long form) |
| Senior Managers Regime - Applications and Notifications | Form A (short form) | Application to perform senior management functions (short form) |
| Senior Managers Regime - Applications and Notifications | Form B | Form to withdraw an application to perform controlled functions (including senior management functions), and for notice to withdraw an application to vary a conditional approval |
| Senior Managers Regime - Applications and Notifications | Form C | Notice to withdraw an application to perform controlled functions |
| Senior Managers Regime - Applications and Notifications | Form D | Form for changes to personal information/application details and conduct breaches/disciplinary action related to conduct |
| Senior Managers Regime - Applications and Notifications | Form E | Internal transfer of an approved person |
| Senior Managers Regime - Applications and Notifications | Form I | Application for the variation of a conditional approval for the performance of a senior management function |
| Senior Managers Regime - Applications and Notifications | Form J | Notification of significant changes in responsibilities of a senior management function manager |
| Part | Title of form | Description |
|---|---|---|
| Close Links | Close Links Notification Form | Application to submit a notification of a close link |
| Close Links | Close Links Monthly Report | Report to be submitted on a monthly basis |
| Close Links | Close Links Annual Report | Report to be submitted on an annual basis |
| Credit Unions | Quarterly return (CQ) template | Quarterly return template for credit unions. |
| Credit Unions | Annual return (CY) template | Annual return template for credit unions. |
| Fitness and Propriety | Regulatory reference template | Form to be completed by all PRA-regulated firms (except small NDFs) when hiring individuals into certain functions. The form is to be exchanged between firms, not submitted to the PRA. |
| Notifications | Standing Data Form | Form to submit standing data to the PRA |
| Notifications | Notification Form | Form to notify the PRA about certain circumstances |
| Notifications | Form C | Notice of ceasing to perform controlled functions (including senior management functions) |
| Notifications | Form D | Changes to personal information/application details and conduct breaches/disciplinary action related to conduct |
| Notifications | Form L | Notification of disciplinary action in relation to an employee performing a certification function |
| Senior Managers Regime - Applications and Notifications | Statement of responsibilities form | Statement of responsibilities form |
| Senior Managers Regime - Applications and Notifications | Form A (long form) | Application to perform senior management functions (long form) |
| Senior Managers Regime - Applications and Notifications | Form A (short form) | Application to perform senior management functions (short form) |
| Senior Managers Regime - Applications and Notifications | Form B | Form to withdraw an application to perform controlled functions (including senior management functions), and for notice to withdraw an application to vary a conditional approval |
| Senior Managers Regime - Applications and Notifications | Form C | Notice to withdraw an application to perform controlled functions |
| Senior Managers Regime - Applications and Notifications | Form D | Form for changes to personal information/application details and conduct breaches/disciplinary action related to conduct |
| Senior Managers Regime - Applications and Notifications | Form E | Internal transfer of an approved person |
| Senior Managers Regime - Applications and Notifications | Form I | Application for the variation of a conditional approval for the performance of a senior management function |
| Senior Managers Regime - Applications and Notifications | Form J | Notification of significant changes in responsibilities of a senior management function manager |
| Part | Title of form | Description |
|---|---|---|
| Close Links | Close Links Notification Form | Application to submit a notification of a close link |
| Close Links | Close Links Monthly Report | Report to be submitted on a monthly basis |
| Close Links | Close Links Annual Report | Report to be submitted on an annual basis |
| Insurance - Fitness and Propriety | Regulatory reference template | Form to be completed by all PRA-regulated firms (except small NDFs) when hiring individuals into certain functions. The form is to be exchanged between firms, not submitted to the PRA. |
| Insurance - Senior Managers Regime - Applications and Notifications | Form A (long form) | Application to perform controlled functions (long form) |
| Insurance - Senior Managers Regime - Applications and Notifications | Form A (shortened form) | Application to perform controlled functions (short form) |
| Insurance - Senior Managers Regime - Applications and Notifications | Form B | Notice to withdraw an application to perform controlled functions |
| Insurance - Senior Managers Regime - Applications and Notifications | Form C | Notice of ceasing to perform controlled functions |
| Insurance - Senior Managers Regime - Applications and Notifications | Form D | Notification of changes in personal information or application details |
| Insurance - Senior Managers Regime - Applications and Notifications | Form E | Internal transfer of an approved person |
| Insurance - Senior Managers Regime - Applications and Notifications | Statement of responsibilities form | Statement of responsibilities form |
| Insurance Special Purpose Vehicles | Group of cells notification form | Form to be completed within five working days of a PCC entering into, amending or cancelling an inter-cell arrangement within a group of cells. |
| Insurance Special Purpose Vehicles | MISPV new risk assumption notification form | Form to be completed within five working days of a PCC assuming a new risk. |
| Key Function Holder - Notifications | Form M | Key function holder notification form |
| Notifications | Standing Data Form | Form to submit standing data to the PRA |
| Notifications | Notification Form | Form to notify the PRA about certain circumstances |
| Notifications | Form C | Notice of ceasing to perform controlled functions (including senior management functions) |
| Notifications | Form D | Changes to personal information/application details and conduct breaches/disciplinary action related to conduct |
| Notifications | Form L | Notification of disciplinary action in relation to an employee performing a certification function |
| Reporting | NS.01 - With-profits value of bonus | National Specific Template (NST) required in NS.01 where the firm as a whole is a single with-profits fund, and NSR.01 otherwise for each with-profits fund. To be completed using the appropriate workbook in Chapter 8 of the Reporting Part. |
| Reporting | NS.02 - With-profits assets and liabilities | National Specific Template (NST) required in NS.02 where the firm as a whole is a single with-profits fund, and NST.02 otherwise for each with-profits fund. To be completed using the appropriate workbook in Chapter 8 of the Reporting Part. |
| Reporting | NS.03 - Material pooling arrangements | National Specific Template (NST) required to enable basic analysis of the effect of material pooling arrangements on the undertaking's performance. To be completed using the appropriate workbook in Chapter 8 of the Reporting Part. |
| Reporting | NS.04 - Assessable mutuals | National Specific Template (NST) required to obtain the supplementary call history by each policy year for each class of mutual members, to show changes in the call pattern (at annual intervals), and to collect data to show the financial performance of the mutual. To be completed using the appropriate workbook in Chapter 8 of the Reporting Part. |
| Reporting | NS.05 - Revenue account life | National Specific Template (NST) required for the total life business, for each ring-fenced fund and for the remaining part. To be completed using the appropriate workbook in Chapter 8 of the Reporting Part. |
| Reporting | NS.06 - Business model analysis (life) | National Specific Template (NST) required collecting business model analysis information for the latest financial year as well as forecasts for three years following the current reporting period. To be completed using the appropriate workbook in Chapter 8 of the Reporting Part. |
| Reporting | NS.09 - Best estimate assumptions for life insurance risks | National Specific Template (NST) required to give an indication of changes in the valuation basis, how the basis compares with experience and the variability of the firm's recent experience. To be completed using the appropriate workbook in Chapter 8 of the Reporting Part. |
| Reporting | NS.11 - Non-life claim development information (general liability sub-classes) | National Specific Template (NST) required for non-life claim development information (general liability sub-classes). To be completed using the appropriate workbook in Chapter 8 of the Reporting Part. |
| Reporting | NS.12 - The Society of Lloyd's solvency capital requirement | National Specific Template (NST) required to report how Lloyd's solvency capital requirement (SCR) will be covered by eligible own funds. To be completed using the appropriate workbook in Chapter 8 of the Reporting Part. |
| Reporting | NS.13 - The Society of Lloyd's minimum capital requirement | National Specific Template (NST) required to report matters required by the rules for the Solvency II Minimum Capital Requirement Part. To be completed using the appropriate workbook in Chapter 8 of the Reporting Part. |
| Reporting | NS.08 - Business model analysis - financial guarantee insurers | National Specific Template (NST) required to collect sufficient information about the portfolio of securities against which financial guarantees have been given to facilitate business model analysis. To be completed using the appropriate workbook in Chapter 8 of the Reporting Part. |
| Reporting | NS.07 - Business model analysis non-life | National Specific Template (NST) required for (re)insurance firms to report forward looking information to the PRA so that the firm's expectation of its sources of revenue over the financial year ended and the coming three financial years is transparent. To be completed using the appropriate workbook in Chapter 8 of the Reporting Part. |
| Reporting | NS.10 - Projection of future cash flows (best estimate - non-life: liability claim types) | National Specific Template (NST) required for insurance and reinsurance firms to report best estimate cash-flows relating to bodily injury claims and latent claim obligations of non-life business. To be completed using the appropriate workbook in Chapter 8 of the Reporting Part. |
| Reporting | NS.00 - Basic information | National Specific Template (NST) required for insurance and reinsurance firms to report basic information about the submission and to show which of the templates NS.01 - NS.11 are also being completed as part of this submission. To be completed using the appropriate workbook in Chapter 8 of the Reporting Part. |
| Part | Title of form | Description |
|---|---|---|
| Close Links | Close Links Notification Form | Application to submit a notification of a close link |
| Close Links | Close Links Monthly Report | Report to be submitted on a monthly basis |
| Close Links | Close Links Annual Report | Report to be submitted on an annual basis |
| Friendly Society - Reporting | FSC4 | Form for the FSC4 return |
| Friendly Society - Reporting | FSC2 | Forms for the FSC2 return |
| Insurance Company - Reporting | Non-Solvency II Firms: Insurance company reporting forms | The reporting forms for non- solvency II insurance firms except friendly societies |
| Large Non-Solvency II Firms – Fitness and Propriety | Regulatory reference template | Form to be completed by all PRA-regulated firms (except small NDFs) when hiring individuals into certain functions. The form is to be exchanged between firms, not submitted to the PRA. |
| Large Non-Solvency II Firms – Key Function Holder – Notifications | Form M | Notification of non-SIMF appointment |
| Large Non-Solvency II Firms – Senior Managers Regime – Applications and Notifications | Form A (long form) | Application to perform controlled functions (long form) |
| Large Non-Solvency II Firms – Senior Managers Regime – Applications and Notifications | Form A (short form) | Application to perform controlled functions (short form) |
| Large Non-Solvency II Firms – Senior Managers Regime – Applications and Notifications | Form B | Notice to withdraw an application to perform controlled functions (including senior management functions) and to vary a conditional approval |
| Large Non-Solvency II Firms – Senior Managers Regime – Applications and Notifications | Form C | Notice of ceasing to perform controlled functions (including senior management functions). |
| Large Non-Solvency II Firms – Senior Managers Regime – Applications and Notifications | Form D | Changes to personal information/application details and conduct breaches/disciplinary action related to conduct. |
| Large Non-Solvency II Firms – Senior Managers Regime – Applications and Notifications | Form E | Internal transfer of an approved person |
| Large Non-Solvency II Firms – Senior Managers Regime – Applications and Notifications | Statement of responsibilities form | Statement of responsibilities form |
| Non-Solvency II Firms - Fitness and Propriety | Regulatory reference template | Form to be completed by all PRA-regulated firms (except small NDFs) when hiring individuals into certain functions. The form is to be exchanged between firms, not submitted to the PRA. |
| Non-Solvency II Firms – Senior Managers Regime – Applications and Notifications | Form A (long form) | Application to perform controlled functions (long form) |
| Non-Solvency II Firms – Senior Managers Regime – Applications and Notifications | Form A (short form) | Application to perform controlled functions (short form) |
| Non-Solvency II Firms – Senior Managers Regime – Applications and Notifications | Form B | Notice to withdraw an application to perform controlled functions (including senior management functions) and to vary a conditional approval. |
| Non-Solvency II Firms – Senior Managers Regime – Applications and Notifications | Form C | Notice of ceasing to perform controlled functions (including senior management functions). |
| Non-Solvency II Firms – Senior Managers Regime – Applications and Notifications | Form D | Changes to personal information/application details and conduct breaches/disciplinary action related to conduct. |
| Non-Solvency II Firms – Senior Managers Regime – Applications and Notifications | Form E | Internal transfer of an approved person |
| Non-Solvency II Firms – Senior Managers Regime – Applications and Notifications | Statement of responsibilities form | Statement of responsibilities form, to be used by small non-directive insurers |
| Notifications | Standing Data Form | Form to submit standing data to the PRA |
| Notifications | Notification Form | Form to notify the PRA about certain circumstances |
| Notifications | Form C | Notice of ceasing to perform controlled functions (including senior management functions) |
| Notifications | Form D | Changes to personal information/application details and conduct breaches/disciplinary action related to conduct |
| Notifications | Form L | Notification of disciplinary action in relation to an employee performing a certification function |