Prudential Regulation Authority Rulebook

6.1

If a PRA approved person's title, name or national insurance number changes, the firm for which the person performs a PRA senior management function must notify the PRA of that change within seven business days of the firm becoming aware of the matter, using Form D.

6.1A

If a PRA approved person has been temporarily absent for more than a 12 week period, the firm for which the person performs a PRA senior management function must notify the PRA of:

1. (1) that absence within seven business days of the end of the 12 week period; and
2. (2) the PRA approved person’s return from absence within seven business days of the date of their return,

in each case, using Form D.

6.2

If, in relation to a firm which has submitted an application on either Form A or Form E, as required by 2.2, any of the details relating to arrangements and PRA senior management functions are to change, the firm must notify the PRA using Form D as soon as reasonably practicable after the firm becomes aware of the proposed change.

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 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.