LRP forms

The following forms have been developed in line with the Financial Services Act 2019 (the Act) that come into force on 15 January 2020.

Application Forms 

These application forms would replace the current Universal Application Form. 

Main Application form (Regulated Firms) This form will be used for applications under Part 7 of the Act that are submitted post 15 January 2020
Audit & Insolvency Application form This form is specifically for the approval of audit firms and statutory auditors seeking approval under Part 24 of the Act.
Pension Scheme Application form This form is specifically designed for occupational pensions that are seeking authorisation under Part 26 and personal pension schemes seeking approval under Part 27 of the Act.
EIF Application form The form is to be submitted by Experienced Investor Funds and would replace the current EIF Notification form. EIF directors wanting to apply for consent to act on behalf of a particular fund would provide information as part of the EIF application. Existing EIF directors with restricted consent to act on an existing fund would notify us via the EIF Material Change Notification form to allow them to provide services to another named fund. 

Regulated Individuals

Regulated Individuals Form This form would replace the existing Individual Questionnaire (IQ) form and would be used when seeking approval of regulated individuals under Part 8 to regulated functions.

Other

EIF – Material Change Notification Form This form will replace the existing EIF material change form and is to be used when notifying the GFSC of any material change made to an EIF
Controllers Form This is a new form and relates specifically to a change in control of a regulated firm.  This form is to be used in lieu of the IQ and BCQ, which is currently submitted as part of a change in controller.