From 9 December 2019, MIFID investment firms and optional exempt firms need to use a new form to submit information to the FCA when appointing Non-SMF Directors to, or withdrawing them from, their management body.
If a firm’s management body changes, the firm will need to download the form, complete it and email it to the FCA via NonSMFNotification@fca.org.uk.
This is a temporary process. From Q1 2020, firms will be able to submit the form via Connect.
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