New form to notify FCA of management body changes for non-SMF Directors

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

This is a temporary process. From Q1 2020, firms will be able to submit the form via Connect.

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