Prudential Regulation Authority Rulebook

6.1

The PRA directs that, save as required by 6.2, a firm must make any applications, notifications or submissions required by this Part by submitting the form specified using the ONA system.

6.2

If, under any direction or rule in this Part:

1. (1) a firm is required to make an application, notification or submission online; and
2. (2) the information technology systems used by the PRA fail and online submission is unavailable for 24 hours or more,

until such time as facilities for online submission are restored, a firm must submit the specified form in the way set out in Notifications 7.

6.3

1. (1) The PRA directs that, if a firm is required to submit a revised statement of responsibilities under section 62A of FSMA, it must do so by submitting Form J with the revised statement of statement of responsibilities.
2. (2) The PRA directs that a firm must not use Form J where the revisions are to be made as part of arrangements involving an application:
1. (a) for approval for the person performing the PRA senior management function concerned to perform another PRA senior management function or FCA-designated senior management function for the same firm; or
2. (b) to vary under section 63ZA of FSMA an approval for the person performing the PRA senior management function concerned to perform another PRA senior management function or FCA-designated senior management function for the same firm.