FSA - Handbook forms and templates

Forms within the FSA's Handbook

These pages contain Handbook forms and specimens or examples of documents required by certain Handbook provisions. They relate to or have been made as part of various Handbook modules, or Handbook or Regulatory Guides.

Please note that not all the Handbook modules and guides have forms. We have only listed the ones that do.

Block

Module/Guide

Reference Code

Business Standards

General Prudential sourcebook forms

This section lists all the forms relevant to the General Prudential sourcebook in the FSA Handbook.

Chapter

Annex

Title

Chapter 3

Cross sector groups

Annex 3G

Classification of groups (GENPRU 3.1.3G) [PDF]

GENPRU

Prudential sourcebook for mortgage and home finance firms and insurance intermediaries

This section lists all the forms relevant to the Prudential sourcebook for Mortgage and Home Finance Firms and Insurance Intermediaries in the FSA Handbook.

Chapter

Annex

Title

Chapter 4

Capital Resources

N/A

Example subordinated loan form for intermediaries (MIPRU 4.4.9G) [PDF]

N/A

Example subordinated loan form for mortgage lenders and administrators (MIPRU 4.4.9 G) [PDF]

MIPRU

Interim Prudential sourcebook for Friendly Societies forms

This section lists all the forms relevant to the Interim Prudential sourcebook: Friendly Societies in the FSA Handbook.

Annex	Form No.	Title
FSC 1 Long term insurance business: Annual Investigation	Form FSC 1	Return [PDF]
	Form 9	Statement of solvency [PDF]
	Form 9A	Analysis of the effect of financial engineering on long-term available assets [PDF]
	Form 13	Analysis of admissible assets [PDF]
	Form 14	Long term insurance business : Liabilities and margins [PDF]
	Form 15	Liabilities (other than long term insurance business) [PDF]
	Form 17	Analysis of derivative contracts [PDF]
	Form 40	Long term insurance business : Revenue account fund [PDF]
	Form 40A	Other revenue account fund [PDF]
	Form 40B	Management fund [PDF]
	Form 40C	Members surplus and savings accounts [PDF]
	Form 41	Analysis of premiums and expenses [PDF]
	Form 42	Analysis of claims [PDF]
	Form 43	Summarised balance sheet for internal linked funds [PDF]
	Form 44	Aggregate revenue account for internal linked funds [PDF]
	Form 45	Supplementary information for internal linked funds [PDF]
	Form 46	Summary of changes in long term insurance business [PDF]
	Form 47	Analysis of new long term insurance business [PDF]
	Form 48	Expected income from admissible assets not held to match liabilities in respect of linked liabilities [PDF]
	Form 49	Analysis of admissible fixed interest securities not held to match liabilities in respect of linked liabilities [PDF]
	Form 51	Valuation summary of non-linked contracts (other than accumulating with-profits policies) [PDF]
	Form 52	Valuation summary of accumulating with-profit policies [PDF]
	Form 53	Valuation summary of property linked contracts [PDF]
	Form 54	Valuation summary of index linked contracts [PDF]
	Form 55	Analysis of unit liabilities and assets in respect of property linked benefits [PDF]
	Form 56	Analysis of assets and liabilities in respect of index linked benefits [PDF]
	Form 57	Matching Rectangle [PDF]
	Form 58	Valuation result and distribution of surplus [PDF]
	Form 60	Required minimum margin [PDF]
	Form 61	Subsidiary provisions [PDF]
	Form 61A	Descriptive section of actuarial investigation [PDF]
	Form 61B	Actuary's certificate [PDF]
	Form 61C	Auditor's report [PDF]
	Form 61D	Signatures of officers and actuary [PDF]

Annex	Form No.	Form title
FSC 2 Periodic Investigation: Long Term and General Insurance Business	Form FSC 2	Return [PDF]
	Form 9	Statement of solvency [PDF]
	Form 9A	Descriptive Section [PDF]
	Form 9B	Actuary's Certificate [PDF]
	Form 9C	Signatures [PDF]

Annex	Form No.	Form title
FSC 3 General insurance business: Periodic Investigation	Form FSC 3	Return [PDF]
	Form 9	Statement of solvency [PDF]
	Form 11	Margins of solvency - first method [PDF]
	Form 12	Margins of solvency - second method - and Required minimum margin [PDF]
	Form 13	Analysis of admissible assets [PDF]
	Form 14	Liabilities and margins: (long term insurance business) [PDF]
	Form 15	Liabilities (other than long term insurance business) [PDF]
	Form 17	Analysis of derivative contracts [PDF]
	Form 20	Technical account [PDF]
	Form 21	Analysis of premiums [PDF]
	Form 22	Analysis of claims, expenses and technical provisions [PDF]
	Form 23	Analysis of net claims and premiums [PDF]
	Form 23A	Descriptive section [PDF]
	Form 23B	Actuary's certificate [PDF]
	Form 23C	Auditor's report [PDF]
	Form 23D	Signatures of officers [PDF]

Annex

Form No.

Form title

FSC 4

Certificate or statement

Form FSC 4

Certificate or statement [PDF]

Appendix No.	Form No.	Form title
N/A	N/A	Fee tariff data supplement [PDF]

IPRU(FSOC)

Interim Prudential sourcebook for Insurers forms

This section lists all the forms relevant to the Interim Prudential sourcebook: Friendly Societies in the FSA Handbook.

Appendix No.	Form No.	Title
Appendix 9.1 Balance sheet and profit and loss account	N/A	Balance Sheet and Profit and loss account (Forms 1 to 3 and 10 to 19) Instructions [PDF]
	Form 1	Statement of solvency - general insurance business [PDF]
	Form 2	Statement of solvency - long-term insurance business [PDF]
	Form 3	Components of capital resources [PDF]
	Form 10	Statement of net assets [PDF]
	Form 11	Calculation of general insurance capital requirements- premiums amount and brought forward amount [PDF]
	Form 12	Calculation of general insurance capital requirements- claims amount and result [PDF]
	Form 13	Analysis of admissible assets [PDF]
	Form 14	Long term insurance business liabilities and margins [PDF]
	Form 15	Liabilities (other than long term insurance business) [PDF]
	Form 16	Profit and loss account (non-technical account) [PDF]
	Form 17	Analysis of derivative contracts [PDF]
	Form 18	With-profit insurance capital component for the fund [PDF]
	Form 19	Realistic balance sheet [PDF]

Appendix No.	No.	Form title
Appendix 9.2 General insurance business: Revenue accounts and additional information	N/A	General insurance business: Revenue account and additional information (Forms 20A and 20 to 39) [PDF]
	Form 20A	General insurance business - summary of business carried on [PDF]
	Form 20	General insurance business - Technical account (excluding equalisation provisions) [PDF]
	Form 21	General insurance business (accident year accounting): Analysis of premiums [PDF]
	Form 22	General insurance business (accident year accounting): Analysis of claims, expenses and technical provisions [PDF]
	Form 23	General insurance business (accident year accounting): Analysis of net claims and premiums [PDF]
	Form 24	General insurance business (underwriting year accounting): Analysis of premiums, claims and expenses [PDF]
	Form 25	General insurance business (underwriting year accounting): Analysis of technical provisions [PDF]
	Form 26	General insurance business (accident year accounting): Analysis of net claims and premiums by category for treaty reinsurance [PDF]
	Form 27	General insurance business (accident year accounting): Analysis of gross claims and premiums by category for treaty reinsurance [PDF]
	Form 28	General insurance business (underwriting year accounting): Analysis of premiums, claims and expenses by category for treaty reinsurance [PDF]
	Form 29	General insurance business (underwriting year accounting): Analysis of technical provisions by category for treaty reinsurance [PDF]
	Form 30	General insurance business: Expected income and yield from admissible assets covering discounted provisions [PDF]
	Form 31	General insurance business (accident year accounting): Analysis of gross claims and premiums by risk group for direct insurance and facultative reinsurance [PDF]
	Form 32	General insurance business (accident year accounting): Analysis of gross claims and premiums for motor vehicle direct insurance and facultative reinsurance [PDF]
	Form 34	General insurance business (underwriting year accounting): Analysis of gross claims and premiums by risk category for direct insurance and facultative reinsurance [PDF]
	Form 36	Currency rates [PDF]
	Form 37	Equalisation provisions [PDF]
	Form 38	Equalisation provisions technical account: Accident year accounting [PDF]
	Form 39	Equalisation provisions technical account: Underwriting year accounting [PDF]

Appendix No.	Form No.	Form title
Appendix 9.3 Long-term insurance business revenue account and additional information	N/A	Long-term insurance business revenue account and additional information (Forms 40 to 60) [PDF]
	Form 40	Long-term insurance business: Revenue account [PDF]
	Form 41	Long-term insurance business: Analysis of premiums [PDF]
	Form 42	Long-term insurance business: Analysis of claims [PDF]
	Form 43	Long-term insurance business: Analysis of expenses[PDF]
	Form 44	Long-term insurance business: Linked funds balance sheet [PDF]
	Form 45	Long-term insurance business: revenue account for internal linked funds [PDF]
	Form 46	Long-term insurance business: Summary of new business [PDF]
	Form 47	Long-term insurance business: Analysis of new industrial assurance business [PDF]
	Form 48	Long-term insurance business: Non-linked assets [PDF]
	Form 49	Long-term insurance business: Fixed and variable interest assets [PDF]
	Form 50	Long-term insurance business: Summary of mathematical reserves [PDF]
	Form 51	Long-term insurance business: Valuation summary of non-linked contracts (other than accumulating with-profits contracts) [PDF]
	Form 52	Long-term insurance business: Valuation summary of accumulating with-profits contracts [PDF]
	Form 53	Long-term insurance business: Valuation summary of property linked contracts [PDF]
	Form 54	Long-term insurance business: Valuation summary of index linked contracts [PDF]
	Form 55	Long-term insurance business: Unit prices for internal linked funds [PDF]
	Form 56	Long-term insurance business: index linked business [PDF]
	Form 57	Long-term insurance business: analysis of valuation interest rate [PDF]
	Form 58	Long-term insurance business: distribution of surplus [PDF]
	Form 59A	Long-term insurance business: With-profits payouts on maturity (normal retirement) [PDF]
	Form 59B	Long-term insurance business: With-profits payouts on surrender [PDF]
	Form 60	Long term insurance capital requirement [PDF]

Appendix No.

Form No.

Form title

Appendix 9.4

Abstract of valuation report

N/A

Abstract of valuation report (Forms 46 to 60) [PDF]

Appendix No.

Form No.

Form title

Appendix 9.4A

Abstract of valuation report for realistic valuation

N/A

Abstract of valuation report for realistic valuation [PDF]

Appendix No.

Form No.

Form title

Appendix 9.5

General insurance business additional information on business ceded

N/A

General insurance business additional information on business ceded [PDF]

Appendix No.

Form No.

Form title

Appendix 9.6

Certificate by Directors and report of the auditors

N/A

Certificate by Directors and report of the auditors [PDF]

Appendix No.	Form No.	Form title
Appendix 9.7 Insurance statistics: Other EEA states	N/A	Insurance statistics: Other EEA states (Forms 91 to 94) [PDF]
	Form 91	General insurance business: Analysis of financial particulars - branches [PDF]
	Form 92	General insurance business: Analysis of financial particulars - provision of [PDF]
	Form 93	Long term insurance business: Analysis of financial particulars - branches [PDF]
	Form 94	Long term insurance business: Analysis of financial particulars - provision of services [PDF]

Appendix No.	Form No.	Form title
Appendix 9.8 Marine mutuals: Items to be disregarded, directors' certificates and auditors reports	N/A	Marine mutuals: Items to be disregarded, directors' certificates and auditors reports [PDF]
	Form M1	Marine mutuals: Revenue account [PDF]
	Form M2	Marine mutuals: Statement of assets and liabilities [PDF]
	Form M3	Marine mutuals: Analysis of admissible assets [PDF]
	Form M4	Marine mutuals: Annual analysis of calls, premiums and claims [PDF]
	Form M5	Marine mutuals: Analysis of derivative contracts [PDF]

Appendix No.

Form No.

Form title

Appendix 9.9

Group capital adequacy

N/A

Group capital adequacy [PDF]

Form 95

Insurance group capital adequacy reporting form [PDF]

Appendix No.

Form No.

Form title

Appendix 9.10

Enhanced Capital Requirement

ECR1

ECR Calculation Summary [PDF]

Appendix No.

Form No.

Form title

Appendix 9.11

Reporting forms

N/A

Reporting forms [PDF]

Appendix No.	Form No.	Form title
N/A	N/A	Fee tariff data supplement [PDF]

IPRU(INS)

Interim Prudential sourcebook for Investment Businesses forms

This section lists all the forms relevant to the Interim Prudential sourcebook: Investment Businesses in the FSA Handbook.

Annex	Chapter	No.	Title
Annex D Required Forms	Chapter 2 Professional Firms	2.1	Form of Bond [PDF]
	Chapter 3 Securities and Futures Firms which are not Investment Firms	3.1	Approved Form of Subordinated Loan Agreement [PDF]
		3.2	Form of Deed of Termination [PDF]
		3.3	Form of Deed of Variation [PDF]
		3.4	Form of Guarantor Undertaking [PDF]
		3.5	Guidance Notes [PDF]
	Chapter 5 Investment Management Firms	5.1	Prescribed Subordinated Loan Agreement [PDF]
	Chapter 5 Investment Management Firms	5.2	Prescribed Approved Undertaking [PDF]
	Chapter 10 Securities and Futures Firms which are Investment Firms	10.1	Long term Subordinated Loan Agreement [PDF]
		10.2	Short Term Subordinated Loan Agreement [PDF]
		10.3	Form of Deed of Termination [PDF]
		10.4	Form of Deed of Variation [PDF]
		10.5	Form of Guarantor Undertaking [PDF]
		10.6	Long Term Consolidated Supervision Sub-Loan Agreement [PDF]
		10.7	Short Term Consolidated Supervision Sub-Loan Agreement [PDF]
		10.8	Guidance Notes [PDF]
	Chapter 13 Personal Investment Firms	13.1	Form of subordinated loan (with guidance notes) [PDF]

IPRU(INV)

Conduct of Business forms

This section lists all the forms relevant to the Conduct of Business manual in the FSA Handbook.

Chapter	Annex	Title
6	Annex 1G	Services and costs disclosure document described in COBS 6.3.7G(1) [PDF]
6	Annex 2	Combined initial disclosure document described in COBS 6.3, ICOBS 4.5G, MCOB 4.4.1R(1) and MCOB 4.10.2R(1) [PDF]

COBS

Insurance: Conduct of Business forms

This section lists all the forms relevant to the Insurance: Conduct of Business manual in the FSA Handbook.

Chapter

Annex

Title

Chapter 4

Advising and selling standards

Annex 1G

Initial disclosure document 'IDD' [PDF]

Chapter 8

Claims handling

Annex 1

Employers' Liability Register [PDF]

ICOBS

Mortgages: Conduct of Business forms

This section lists all the forms relevant to the Mortgages: Conduct of Business manual in the FSA Handbook.

Chapter	Annex	Title
Chapter 2 Conduct of business standards: general	Annex 1G	Form of joint instruction letter [PDF]
Chapter 3 Financial promotion	Annex 1G	Examples of qualifying credit promotions [PDF]
Chapter 4 Advising and selling standards	Annex 1R	Initial disclosure document 'IDD' [PDF]
Chapter 5 Pre-application disclosure	Annex 1R	The mortgage illustration: table of contents, prescribed text and prescribed section heading and subheadings [PDF]
Chapter 6 Disclosure at the offer stage	Annex 2R	Written Pre-offer Document of a regulated sale and rent back agreement [PDF]
Chapter 6 Disclosure at the offer stage	Annex 3R	Cooling-Off Document of a regulated sale and rent back agreement [PDF]
Chapter 8 Lifetime mortgages: advising and selling standards	Annex 1R	Initial disclosure document 'IDD' [PDF]
Chapter 9 Equity release: product disclosure	Annex 1R	The illustration: table of contents, prescribed text and prescribed section heading and subheadings (R) [PDF]
Chapter 9 Equity release: product disclosure	Annex 2R	The illustration: table of contents, prescribed text and prescribed section headings and sub-headings [PDF]

MCOB

Regulatory processes

Supervision forms

Includes Chapter 16 reporting form and Chapter 10 Approved persons forms

This section lists all the forms relevant to the Supervision manual in the FSA Handbook.

Chapter	Annex	Title
Chapter 3 Auditors	Annex 1R	Auditor's client assets report [PDF]
Chapter 6 Applications to vary and cancel Part IV permission	Annex 5D	Variation of Permission Application - Home Finance & General Insurance Mediation Activities [DOC]
		Variation of Permission Application - Home Finance & General Insurance Mediation Activities (Notes) [PDF]
		Variation of Permission Application - Insurance Business, Banking (accepting deposits), Electronic Money, Lloyd's Market and Funeral Plan Providers [DOC]
		Variation of Permission Application - Insurance Business, Banking (accepting deposits), Electronic Money, Lloyd's Market and Funeral Plan Providers (Notes) [PDF]
		Variation of Permission Application - Investment Business [DOC]
		Variation of Permission Application - Investment Business (Notes) [PDF]
	Annex 6D	Application for Cancellation of Part IV Permission [DOC] Application for Cancellation of Part IV Permission - Mortgage and General Insurance Firms [PDF]
Chapter 8 Waiver and modification of rules	Annex 2D	Application for a waiver or modification [DOC]
Chapter 10 Approved Persons	Annex 4D	Long Form A - UK and Overseas Firms (not EEA) [DOC] Application to perform controlled functions under the approved persons regime Long Form A - Incoming EEA only [DOC] Application to perform controlled functions under the approved persons regime Short Form A - UK and overseas firms (not EEA) [DOC] Application to perform controlled functions under the approved persons regime Short Form A - Incoming EEA only [DOC] Application to perform controlled functions under the approved persons regime Notes [DOC]
	Annex 5R	Form B [DOC] Notice to withdraw an application to perform controlled functions under the approved persons regime Notes [DOC]
	Annex 6R	Form C [PDF] Notice of ceasing to perform controlled functions Notes [DOC]
	Annex 7R	Form D [PDF] Notification of changes in personal information or application details Notes [DOC]
	Annex 8D	Form E [DOC] Internal transfer of an approved person Notes [DOC]
Chapter 11 Controllers and close links	Annex 4D	The suite of change in controller forms can be accessed on the Change in Control page.
Chapter 11 Controllers and close links	Annex 5D
Chapter 12 Appointed representatives	Annex 3R	Add an Appointed Representative [DOC]
	Annex 4R	Change details of an Appointed Representative [DOC]
	Annex 5R	Termination of an Appointed Representative [DOC]
Chapter 13 Appointed representatives	Annex 1R	Passporting: Notification of intention to establish a branch in another EEA state [PDF]
	Annex 2R	Passporting: Markets in Financial Instruments Directive [PDF]
	Annex 3R	Passporting: Consolidated Life Directive and Third Non-Life Insurance Directive [PDF]
	Annex 4R	Passporting: Banking Consolidation Directive [PDF]
	Annex 5R	Passporting: Insurance Mediation Directive [PDF]
	Annex 6R	Passporting: UCITS Directive [PDF]
Chapter 15 Notifications to the FSA	Annex 2R	Form F [DOC] Changes in notified persons Notes [DOC]
	Annex 3R	Standing Data Form [PDF]
	Annex 4R	Notification Form [PDF]
Chapter 16 Reporting Requirements
	Annex 6R	Persistency report [PDF]
	Annex 9R	Annual questionnaire for authorised professional firms [PDF]
	Annex 10R	Securities and Futures firms' reporting forms [PDF]
	Annex 11G	Guidance notes on form 10R [PDF]
	Annex 12G	Reports from trustees of AUTs and depositories of ICVCs [PDF]
	Annex 13R	Return cover sheet [PDF]
	Annex 14R	Quarterly and annual returns for Credit Unions [PDF]
	Annex 15G	Notes on completing the quarterly and annual returns for Credit Unions [PDF]
	Annex 18AR	Retail Mediation Activities Return ('RMAR') [PDF]
	Annex 18BG	Notes for completion of the Retail Mediation Activities Return ('RMAR') [PDF]
	Annex 19AR	Mortgage Lending and Administrations Return ('MLAR') [ PDF ]
	Annex 19BG	Notes for completion of the Mortgage Lending and Administration Return ('MLAR') [PDF]
	Annex 20G	Products covered by the reporting requirement in SUP 16.11 [PDF]
	Annex 21R	Reporting Fields [PDF]
	Annex 24R	Data items for SUP 16.7 and SUP 16.12 [PDF]
	Annex 25G	Guidance notes for data items in SUP 16 Annex 24R [PDF]
	Annex 27AD	Authorised Payment Institution Capital Adequacy Return [PDF]
	Annex 27BG	Notes on Completing Authorised Payment Institution Capital Adequacy Return in SUP 16 Annex 27AD [PDF]
	Annex 28AD	Small Payment Institution Return [PDF]
	Annex 28BG	Notes on Completing Payment Services Directive Transactions in SUP 16 Annex 28AD [PDF]
	Annex 29R	Client Money and Asset Return (CMAR) [PDF]
	Annex 29AR	Guidance notes for the data item in SUP 16 Annex 29R [PDF]
	Annex 30	Electronic money: returns [PDF]
	Annex 30A	Authorised electronic money institutions - balance sheet return [PDF]
	Annex 30B	Authorised electronic money institutions - income statement [PDF]
	Annex 30C	Authorised electronic money institutions - capital requirements return [PDF]
	Annex 30D	Authorised electronic money institutions - safeguarding return [PDF]
	Annex 30E	Authorised electronic money institutions - supplementary information [PDF]
	Annex 30F	Small electronic money institution return [PDF]
	Annex 30G	Small electronic money institutions - total outstanding electronic money return [PDF]
Chapter 21 Waiver	Annex 1G	Form of Waiver: Energy Market Participant [PDF]

SUP

Redress

Dispute Resolution: Complaints forms

This section lists all the forms relevant to the Dispute Resolution: Complaints sourcebook in the FSA Handbook.

Chapter

Annex

Title

Chapter 1

Complaint handling procedures for firms

Annex 1R

Complaints return [PDF]

Annex 1BR

Complaints publication report [PDF]

DISP

Specialist sourcebooks

Collective Investment Schemes sourcebook forms

This section contains links to application and notification forms for the authorisation, recognition and alteration of collective investment schemes.

Please note - if you are applying for authorisation of a new fund that will operate as a fund of alternative investment funds (FAIF) or for alteration of an existing fund so that it will operate as a FAIF, you will be required to provide the following with the application:

Details of how compliance with the due diligence requirements under COLL will be achieved and monitored;
Details of the resources dedicated to the due diligence process;
Details relating to delegated functions - this must include details of the oversight you will be undertaking; and
Confirmation of whether the depositary has reviewed, and is satisfied with, the due diligence process.

The CIS Authorisations Team deals with all CIS applications and notifications.

New schemes
No.	Title
Form 12	Application for an order declaring an investment company with variable capital (ICVC) to be authorised [DOC]
Form 242	Joint application for an order declaring a unit trust scheme to be authorised [Word]
Form 270	Notification by the operator of a collective investment scheme authorised in a designated country or territory outside the United Kingdom that it wishes the scheme to be recognised in the United Kingdom [DOC]
Form 272	Application for an order declaring an overseas collective investment scheme to be recognised [DOC]

Changes to existing schemes
No.	Form/template title
Form 9	Notification of a proposal for cross-border or domestic UCITS merger under regulation 9 of The Undertakings for Collective Investment in Transferable Securities Regulations 2011 [DOC]
Form 21	Notification of certain changes for an investment company with variable capital (ICVC) under regulation 21 of the Open-Ended Investment Companies Regulations 2001 [Word]
Form 22A	Notification of certain changes for an ICVC under regulation 22A of The Open-Ended Investment Companies Regulations 2001 [DOC]
Form 251	Notification of certain changes for an authorised unit trust (AUT) under section 251 of the Financial Services and Markets Act [DOC]
Form 252A	Notification of proposed changes for an Authorised Unit Trust under section 252A of the Financial Services and Markets Act 2000 [DOC]
Form 264CH	Notification of certain changes to UCITS recognised under section 264 of the Financial Services and Markets Act 2000 [DOC] Note: See Marketing of EEA UCITS in the UK for further information.
Form 283A	Application for approval of certain changes for a UCITS scheme under section 283A of the Financial Services and Markets Act 2000 [DOC]
Form FN	Notification of changes to an investment company with variable capital (ICVC) or an authorised unit trust (AUT), following prior approval of the FSA [DOC]
-	Notification Letter [DOC]

COLL

Credit unions new sourcebook forms

This section lists all the forms relevant to the Credit Unions new sourcebook in the FSA Handbook.

Chapter

Annex

Title

Chapter 9

Complaints reporting rules for credit unions

Annex 1R

Credit union complaints return [PDF]

CREDS

Electronic money forms

This section lists all the forms relevant to the Electonic Money manual in the FSA Handbook.

Chapter

Annex

Title

Chapter 8

Small e-money issuers

Annex 1G

Small E-money Issuer Certificate [PDF]

Annex 2R

Form ELM-SI - Provision of information from a small electronic money issuer [PDF]

ELM

Regulated Covered Bonds

This section lists all the forms relevant to the Regulated Covered Bonds sourcebook in the FSA Handbook.

Chapter	Annex	Title
Chapter 2 Applications for registration	Annex 1D	Application for the admission to the register of issuers and register of regulated covered bonds [DOC]
Chapter 3 Notifications	Annex 1D	Annual confirmation of compliance with the RCB Regulations and the RCB Sourcebook [DOC]
	Annex 2D	Asset pool notification form [DOC]
	Annex 3D	Series issuance notification form [XLS]

RCB

Listing Prospectus and disclosure

Listing Rules forms

This section lists all the forms relevant to the Listing Rules sourcebook which came into force on 1st July 2005.

Title
Application for admission of securities to the official list [DOC]
Block Listing Six Monthly Return form [DOC]
Issuer's Declaration form [DOC]
Pricing Statement form [DOC]
Public Sector Issuer certificate form [DOC]
Shareholder Statement form [DOC]
Notification of major interests in shares [DOC]
Contact details [PDF]
Sponsor Conflicts Declaration [PDF]
Sponsor's Declaration for a Transfer of Listing Category [PDF]
Sponsor's declaration for the production of a circular [PDF]
Sponsor's declaration on an application for listing [PDF]
Sponsor firm application form [DOC]

Prospectus Rules forms

This section lists all the forms relevant to the Prospectus Rules sourcebook which came into force on 1st July 2005.

No.	Title
Form A	Application for the approval of a prospectus in accordance with Part VI of the Financial Services and Markets Act 2000 (FSMA) [PDF]
Form B	Application for the inclusion on the Qualified Investor Register (QIR) in accordance with rule 5.4.3 of the Prospectus Rules [PDF]
Form C	Application to receive a copy of the Qualified Investor Register (QIR) in accordance with rules 5.4.8 and 5.4.9 of the Prospectus Rules [PDF]

Disclosure Rules and Transparency forms

This page lists all the forms relevant to the Prospectus Rules sourcebook which came into force on 1st July 2005.

Title
Notification of transactions of directors/persons discharging managerial responsibility and connected persons [PDF]

DTR

Regulatory Guides

The Building Societies Regulatory Guide

This section lists all the forms relevant to the Building Societies Regulatory Guide in the FSA Handbook.

Chapter	Annex	Title
Chapter 1a	Annex 2	Application for the right to obtain access to the register of members of a building society [PDF]
Chapter 2	Annex 1	Pro forma merger document [PDF]
Chapter 2	Annex 2	Pro forma notice of, and applications for, confirmation [PDF]
Chapter 3	Annex 1	Transfer document [PDF]
Chapter 3	Annex 2	Pro forma [PDF]

BSOG

The Perimeter Guidance Manual forms

This section contains forms from the Perimeter Guidance manual relating to the exclusion from the regulated activity of advising on investments (in article 53 of the RAO) for publications, broadcast services and news/information services.

Full details of the arrangements are set out in Chapter 7 of the Perimeter Guidance Manual (PERG).

Chapter

No.

Title

Chapter 7

Periodical publications, news services and broadcasts : applications for certification

Form A

Application for a certificate for a periodical publication

Form B

Application for a certificate for a TV or radio service

Form C

Application for a certificate for a news or information service

PERG