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 FSA045 IRB portfolio risk
Regulatory Reporting PRA104 Balance sheet - forecast data (assets)
Regulatory Reporting PRA105 Balance sheet - forecast data (liabilities)
Regulatory Reporting PRA106 Balance sheet - forecast data (equity)
Regulatory Reporting PRA107 Statement of profit or loss - forecast data
Regulatory Reporting PRA108 Memorandum items
Regulatory Reporting PRA109 Form for operational continuity firms to submit annual operational continuity reporting to the PRA.
Regulatory Reporting PRA103 Capital+ forecast annual
Regulatory Reporting Templates 1.1 ,1.2, 1.3, 2 and 3 at Annexes III and IV of the Supervisory Reporting ITS Balance sheet, Statement of profit or loss, Statement of comprehensive income
Regulatory Reporting MLAR Mortgage lenders and administrators return
Regulatory Reporting PRA102 Capital+ forecast semi annual
Regulatory Reporting Branch Return Form undefined
Regulatory Reporting PRA101 Capital+ actuals and forecasts
Regulatory Reporting RFB001 - Intragroup exposures Form to be completed by the RFB sub-group to collect data on intragroup exposures and credit risk mitigation (CRM). This is based on COREP large exposures (LE) templates.
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 RFB003 - Intragroup financial reporting (core) Form to be completed by RFB sub-group to collect data on core intragroup balance sheet and P and L items. This is based on FINREP templates and definitions.
Regulatory Reporting RFB004 - Intragroup financial reporting (detailed breakdown) Form to be completed by RFB sub-group to collect detailed data on intragroup balance sheet and P and L items. This is based on FINREP templates and definitions.
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 FSA084 Leverage Ratio - Transitional template For use from 1 January 2016
Reporting Leverage Ratio FSA083 Leverage Ratio template For use from 1 January 2017
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