There are quite a few forms associated with SM&CR. We thought it would useful to summarise the various forms and their purpose.

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Form A (Long) – Application to perform controlled functions including SMFs

Form A (Short) – Application to perform controlled functions including SMFs

All firms

An application for an individual to perform a specified SMF (or, for Appointed Representatives only, controlled function) at the firm(s).

A ‘short’ Form A can generally be used where:

1. a currently approved individual is applying for an additional controlled function at the same firm;
2. an individual has stopped holding a controlled function at one firm and now needs approval to perform a controlled function at another firm within six months;
3. an individual is applying to hold a controlled function and is already approved.

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Form C – Notice of ceasing to perform controlled functions including Senior Management Functions

All firms

An application for used to cancel an individual approval.

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Form D – Changes to personal information/application details and conduct breaches/disciplinary action related to conduct

All firms

Used to notify the FCA of Conduct Rule breaches by Senior Managers, disciplinary action taken against Senior Managers and changes to personal information.

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Form E – Internal transfer of a person performing a controlled function for solo regulated firms

All firms

An application for an individual to change the approved function being performed.

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Form I – Application for the Variation of a Conditional Approval for the performance of a SMF

All firms

An application for changes to the conditions associated with a conditional approval to perform a SMF

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Form J – Notification of Significant Changes in Responsibilities of a SMF Manager              

All firms

A notification submitted to inform the FCA of significant changes to a Senior Manager’s SoR.

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Form K – Conversion Notification Form – FCA solo-regulated firms

Enhanced firms (and Core firms on an exceptions basis)

An application to convert the firm’s approved individuals from the Approved Persons regime to new functions under the SM&CR. This can also be used to submit updates to a previous Form K.

See here for further guidance on Form K.

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Form O

Optional form for Core and Limited Scope firms

A notification to opt up into the Core or Enhanced tiers.

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REP008 – Notification of Conduct Rule Breaches and Disciplinary Action

All firms

Used to notify the FCA of whether the firm has taken disciplinary action for Conduct Rule breaches in the reporting period against individuals who are not Senior Managers.

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Statement of Responsibilities for solo-regulated SMCR firms

All firms

A firm must use this template to create a Senior Manager’s SoR. At approval it should be attached to a Form A, Form E or Form K submission. A firm must also use this template when preparing an updated SoR and it should be attached to a Form I (application for the variation of a conditional approval) or Form J (notification of a significant change to a SoR) application.