Application Form for an individual responsible for the management of a Payment Institution Payment Services Regulations 2017



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Financial Services Auth


PSD Individual Form

Application Form for an individual responsible for the management of a Payment Institution
Payment Services Regulations 2017

Name of individual (the PSD Individual for whom approval is being requested)

     

Full name of applicant firm (as entered in 2.1)

     

Firm reference number (as entered in 2.2)

     


Important information you should read before completing this form

Please keep a copy of the forms you complete and any supporting documents you include with this application for your future reference.

For the purposes of complying with the Data Protection Act 1998, please note that any personal information provided to us will be used to discharge our statutory functions under The Payment Services Regulations 2017 and other relevant legislation; it may be disclosed to third parties for those purposes and/or where there is an applicable gateway permitting disclosure (i.e. specific circumstances in which the FCA is permitted to disclose confidential information to a third party).

It is important that you provide accurate and complete information, and disclose all relevant information. If you do not, you may be committing a criminal offence and it may increase the time taken to assess your application.

The FCA has produced notes which will assist both the applicant and the individual in answering the questions in this form. Please read these notes, which are available on the FCA’s website at https://www.fca.org.uk/publication/forms/individual-notes-for-payment-services-psd2.docx . Both the applicant and the individual will be treated by the FCA as having taken these notes into consideration when completing their answers to the questions in this form.



Contents of this form

1

Personal identification details

3

2

Firm identification details

5

3

Arrangements

6

4

Employment history and qualifications

7

5

Fitness and propriety

11

6

Supplementary information

16

7

Declarations and signatures

17





Application for Authorisation as a

Payment Institution
Financial Services Authority

Application for Authorisation as a


Filling in the form

1 If you are using your computer to complete the form:

  • use the TAB key to move from question to question and press SHIFT TAB to move back to the previous question.

2 If you are filling in the form by hand:

  • use black ink; and

  • write clearly.

3 If you think a question is not relevant to you, write 'not applicable' and explain why.

4 If you leave a question blank without telling us why, we will have to treat the application as incomplete. This will increase the time taken to assess your application.

5 If there is not enough space on the forms, you may need to use separate sheets of paper. Clearly mark each separate sheet of paper with the relevant question number.

6 If the PSD Individual Form is not part of a new application for registration as a Payment Institution, please email a scanned PDF copy of the completed form to:
Paymentservices-individuals@fca.org.uk

If the PSD Individual Form is part of a new application for registration or authorisation as a Payment Institution this should be attached to your application in Connect.


Payment Institution








1

Personal identification details

1.1a FCA Individual Reference Number (IRN) (if individual is already registered with the FCA)

     

b OR name of previous regulatory body

     

c AND previous reference number (if applicable)

     

1.2 Title (e.g. Mr, Mrs, Ms, etc)

     

1.3 Surname

     

1.4 ALL forenames

     

1.5 Name commonly known by

     

1.6 Previous name(s)

     

1.7 Date of name change (dd/mm/yyyy)


     

     

/

     

     

/

     

     

     

     

1.8 Gender

 Male

 Female

1.9 Date of birth (dd/mm/yyyy)


     

     

/

     

     

/

     

     

     

     

1.10 Place of birth

     

1.11 National Insurance number or copy of passport (or equivalent)

 Copy of passport (or equivalent) attached

     

1.12 Nationality

     

1.13 Private address

Private address

     




Postcode

     

Date resident at this address (mm/yyyy)

From


     

     

/

     

     

     

     

If address has changed in the last three years, please provide addresses for the previous three years.


1.14 Previous address 1

Private address

     




Postcode

     

Dates resident at this address (mm/yyyy)


     

     

/

     

     

     

     

To


     

     

/

     

     

     

     

Previous address 2

Private address

     




Postcode

     

Dates resident at this address (mm/yyyy)


     

     

/

     

     

     

     

To


     

     

/

     

     

     

     





2

Firm identification details

2.1 Name of applicant firm (or individual if sole trader) making the application

     

2.2 FCA Firm Reference Number (FRN)

     

2.3 Who should the FCA contact at the applicant firm in relation to this application?

Name

     

Position

     

Telephone

     

Fax

     

Email

     





3

Arrangements

3.1 Details of position to be held by the PSD Individual

 Executive Director / Partner or other member of the executive management board

 Non-executive Director or Manager of the Payment Institution

 Other (give details below)

     


3.2 Please attach the following (as applicable)

 Letter of appointment

 Contract

 Offer of employment or respective drafts, as applicable

3.3 When is the individual’s planned start date (dd/mm/yyyy)?


     

     

/

     

     

/

     

     

     

     

3.4 Does the role have an expected end date?

 No

 Yes Give the date the individual expects the role to come to an end below (dd/mm/yyyy)


     

     

/

     

     

/

     

     

     

     

3.5 What are the individual’s key duties and responsibilities?

     











4

Employment history and qualifications

N.B. A full five-year employment history must be provided & ALL gaps must be accounted for. Failing to provide this may delay the processing of the application (refer to the relevant notes in section 4)


Employment details (1)

4.1


Current position










Period From

mm/yy

To

mm/yy








Nature of employment

a) Employed

b) Self-employed

c) Unemployed

d) In full-time education

If c or d is ticked, please give details




     







Name of employer

     


Last known address of employer

     


Previous/other names of employer

     










Nature of business

     






Is/was employer regulated by a regulatory body?

 No

 Yes Please give the name of the
regulatory body





     










Position held

     










Responsibilities

     















Employment details (2)

4.2


Previous position










Period From

mm/yy

To

mm/yy








Nature of employment

a) Employed

b) Self-employed

c) Unemployed

d) In full-time education

If c or d is ticked, please give details




     







Name of employer

     


Last known address of employer

     


Previous/other names of employer

     










Nature of business

     






Is/was employer regulated by a regulatory body?

 No

 Yes Please give the name of the
regulatory body





     










Position held

     










Responsibilities

     






Reason for leaving

 a) Resignation

 b) Redundancy

 c) Retirement

 d) Termination/dismissal

 e) End of contract

 f) Other Please specify





     





















Employment details (3)




Previous position










Period From

mm/yy

To

mm/yy








Nature of employment

a) Employed

b) Self-employed

c) Unemployed

d) In full-time education

If c or d is ticked, please give details




     







Name of employer

     


Last known address of employer

     


Previous/other names of employer

     










Nature of business

     






Is/was employer regulated by a regulatory body?

 No

 Yes Please give the name of the
regulatory body





     










Position held

     










Responsibilities

     






Reason for leaving

 a) Resignation

 b) Redundancy

 c) Retirement

 d) Termination/dismissal

 e) End of contract

 f) Other Please specify





     










4.3 Please attach an up-to-date CV containing details of education and professional experience, including academic qualifications, other relevant training, the name and nature of all organisations for which the individual works or has worked, and the nature and duration of the functions performed, in particular highlighting any activities within the scope of the position sought.

 Attached

4.4 Where applicable, please include information on the suitability assessment carried out by the applicant. This should include details of the result of any assessment of the suitability of the individual performed by the applicant, such as relevant board minutes or suitability assessment reports or other documents

 Attached









5

Fitness and Propriety

In answering these questions, the individual and applicant/firm are expected to give the words the widest possible interpretation. Remember, the FCA treats non-disclosure very seriously.


Part A – Criminal proceedings


In answering the questions in Part A, you should include matters whether in the United Kingdom or overseas. By virtue of the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975, if the individual is subject to the law of England and Wales, they must disclose spent convictions and spent cautions (other than a protected conviction or caution). By virtue of the Rehabilitation of Offenders Act 1974 (Exclusions and Exceptions) (Scotland) Order 2013 and the Rehabilitation of Offenders (Exceptions) Order (Northern Ireland) 1979, if the individual is subject to the law of Scotland or Northern Ireland, they must disclose spent convictions (other than a protected conviction).
For the avoidance of doubt, references to the legislation above are references to the legislation as amended.

5.1

i Has the PSD Individual ever been convicted of any criminal offence? (You should include any conviction of an offence for which the PSD Individual received an absolute or conditional discharge. You should include traffic offences only if they resulted in a ban from driving or involved driving without insurance).

 No  Yes

ii Is the PSD Individual currently the subject of any pending criminal investigation?

 No  Yes

5.2

i Is the PSD Individual currently the subject of any proceedings relating to any criminal offence?

 No  Yes

ii Has the PSD Individual ever been the subject of any proceedings or investigations relating to any criminal offence?

 No  Yes

iii Where such documents can be obtained, you must attach an official certificate or equivalent document (such as evidence of third party investigations and testimonies) detailing any criminal matters or, where applicable, evidencing the absence of such matters (e.g. a Disclosure and Barring Services (DBS) Certificate or any other similar document).

 Attached




Please revert to the guidance notes for the meaning of ‘position of responsibility’ in the context of the questions in this form.

5.3 Has any organisation entity at which the PSD Individual holds or has held a position of responsibility ever been involved as a debtor in insolvency or comparable proceedings?

 No  Yes

5.4 If you have answered yes to any of the questions in Part A above, please give full details in Section 6. Tick this box to confirm that you have provided full details, including reason(s), date(s) and duration as applicable, as well as any supporting documents.

 Yes

Part B – Civil and administrative proceedings


In answering the questions in Part B you should include matters in the United Kingdom or overseas.

5.5 Has the PSD Individual ever been:

i the subject of any civil or administrative investigations or proceedings?

 No  Yes

ii subject to civil or administrative decisions that were found against them? (You should include, for example, injunctions and employment tribunal proceedings.)

 No  Yes

iii the subject of any civil or administrative enforcement proceedings, sanctions or other enforcement decisions?

 No  Yes

(You should include all County Court Judgment(s) (‘CCJs’) made against the PSD Individual, whether satisfied or not. Please include in Section 6:



  • the sum and date of all judgment debts or CCJs (whether satisfied or not); and

  • the total number of all CCJs ordered.)



When answering 5.5(ii) (civil or administrative decisions) you should include matters of relevance to the authorisation or registration process. You should include details of any administrative sanctions or measures imposed as a consequence of a breach of laws or regulations (including disqualification as a company director). In answering this question you are not required to disclose details of civil or administrative proceedings that were set aside or where an appeal is pending or may be filed.



When answering 5.5 (i & iii) (civil and administrative investigations and/ or enforcement proceedings) you should disclose matters which may be considered to be relevant to the authorisation to commence the activity of a payment institution, or to the sound and prudent management of a payment institution.

iv directly or indirectly involved in any investigation, enforcement proceedings or sanctions by a supervisory authority?

 No  Yes

5.6 Where such documents can be obtained, you must attach an official certificate or equivalent document (such as evidence of third party investigations and testimonies) detailing whether or not the civil or administrative matters detailed above have occurred in respect of the PSD individual.

 Attached

5.7 Has the PSD Individual ever (tick all that apply)

i) filed for bankruptcy or had a bankruptcy petition served on him /her?

 No  Yes

ii) been adjudged bankrupt?

 No  Yes

iii) been the subject of a bankruptcy restrictions order (including an interim bankruptcy restrictions order) or offered a bankruptcy restrictions undertaking?

 No  Yes

iv) made any arrangements with creditors, for example a deed of arrangement or an individual voluntary arrangement (or in Scotland a trust deed)?

 No  Yes

v) had assets sequestrated?

 No  Yes

vi) been involved in any proceeding relating to the above matters even if such proceedings did not result in the making of any kind of order or result in any kind of agreement?

 No  Yes

5.8 Is the PSD Individual currently involved in any proceedings in relation to any of the matters set out in Questions 5.7(i) – (vi) above (you should include where the PSD Individual is in the process of entering into any kind of agreement in favour of the PSD Individual's creditors)?

 No  Yes

Please specify in section 6 whether any bankruptcy orders made have been discharged.

5.9 Does the PSD Individual have any outstanding financial obligations connected with regulated activities (including any activities regulated by the FCA or any other regulatory body), which the PSD Individual has carried on in the past?

 No  Yes

5.10 If you have answered yes to any of the questions in Part B above please give full details in section 6. Tick this box to confirm that you have provided full details, including reason(s), date(s) and duration as applicable as well as supporting documents.

 Yes

Part C – Business and employment matters


In answering the questions in Part C you should include matters in the United Kingdom or overseas.

5.11 Has the PSD Individual ever been:

i dismissed;

 No  Yes

ii asked to resign; or

 No  Yes

iii suspended

 No  Yes

from any profession, vocation, office, employment, position of trust, fiduciary appointment or similar, whether or not remunerated?

5.12 Has the PSD Individual ever been:

i disqualified from acting as a director or similar position?

 No  Yes

ii the subject of any proceedings of a disciplinary nature (whether or not the proceedings resulted in any finding)?

 No  Yes

iii the subject of any investigation which might lead to or might have led to disciplinary proceedings?

 No  Yes

iv notified of any potential proceedings of a disciplinary nature?

 No  Yes

v the subject of any allegations of malpractice or misconduct in connection with any business activities?

 No  Yes

5.13 If you have answered yes to any of the questions in Part C above, please give full details in Section 6. This at a minimum should include the reason(s), date(s) and duration as applicable, alongside supporting documents. Tick this box confirm that you have provided full details:

 Yes

Part D – Regulatory matters


In answering the questions in Part D you should include matters whether in the United Kingdom or overseas.

5.14 Has the PSD Individual ever:

i been refused, had revoked, or terminated, any authorisation, registration, membership or licence to carry out a trade, business or a profession?

 No  Yes

ii been excluded by a competent authority or public sector entity in the financial services sector or by a professional body or association (including, for example, any disbarment, dismissal or expulsion)?

 No  Yes

5.15 Has an assessment of reputation of the PSD Individual (as a person who directs the business of an institution) already been conducted by another competent authority (either within or outside of the financial sector)?

 Yes Give details below including the name of the authority, the date of the assessment and evidence of the outcome of this assessment (by giving this information, the PSD Individual consents to us processing the information provided for the purpose of the suitability assessment).

 No

     


5.16 If you have answered yes to any of the questions above, please give full details in Section 6. This at a minimum should include the reason(s), date(s) and duration as applicable. Tick this box confirm that you have provided full details with supporting documentation:

 Yes








6

Supplementary information

6.1 If there is any other information the individual or the firm considers may be relevant to the application, it must be included here.


Please also include here any additional information indicated in previous sections of the form.

If there is insufficient space, please continue on a separate sheet of paper and clearly identify the section and question to which the additional information relates.

Question

Information

     

     



Please indicate how many additional sheets are being submitted

     



7

Declarations and signatures

You do not need to complete this section if this PSD Individual Form is part of a new application for registration or authorisation as a Payment Institution.




Declaration of Individual

Knowingly or recklessly giving the FCA (or providing to another person to give to the FCA) information which is false or misleading in a material particular, is a criminal offence (under the Payment Services Regulations 2017 (“PSRs”)) and may lead to disciplinary sanctions or other enforcement action by the FCA. If necessary, appropriate professional advice should be sought before supplying Information to us.

All information that the FCA might reasonably consider relevant to this notification should be supplied to the FCA. It should not be assumed that information is known to the FCA merely because it is in the public domain or has previously been disclosed to the FCA or another regulatory body, and the applicant is not entitled to assume that, in assessing this application, the FCA will check its existing records in respect of (or for information relating to) the applicant or persons connected to it. If there is any doubt about the relevance of information, it should be included.

For the purposes of complying with the Data Protection Act 1998, any personal information provided to us will be used to discharge our functions under the PSRs and other relevant legislation; it may be disclosed to third parties for those purposes and/or where there is an applicable gateway permitting disclosure (i.e. specific circumstances in which the FCA is permitted to disclose confidential information to a third party).

With reference to the above, the FCA may seek to verify the information given in this Form including answers pertaining to fitness and propriety. This may include a credit reference check and/or a Police National Computer (PNC) check.

I authorise the FCA to make such enquiries and seek such further information as it thinks appropriate in the course of verifying the information given in this Form. I understand I may be selected to undergo a PNC check to determine whether any criminal records are held in relation to me. I understand that the FCA may disclose the results of these enquiries to the firm submitting this application.

I confirm that the information in this Form is accurate and complete to the best of my knowledge and belief.

Individual’s full name

     

Signature


Date (dd/mm/yyyy)


     

     

/

     

     

/

     

     

     

     



Declaration of Applicant Firm / Payment Institution

It is a criminal offence (under the PSRs) to knowingly or recklessly give us information which is false or misleading in a material particular. If necessary, appropriate professional advice should be sought before supplying Information to us.

All information that the FCA might reasonably consider relevant to this notification should be supplied to the FCA. It should not be assumed that information is known to the FCA merely because it is in the public domain or has previously been disclosed to the FCA or another regulatory body, and the applicant is not entitled to assume that, in assessing this application, the FCA will check its existing records in respect of (or for information relating to) the applicant or persons connected to it. If there is any doubt about the relevance of information, it should be included.

You must notify us without delay of any material change to the information provided. Failure to notify us without delay of any material change or inaccuracy is a breach of the PSRs, may result in a delay in the application process and may also call into question whether the applicant meets the conditions for registration or authorisation.

In making this application the applicant firm believes on the basis of due and diligent enquiry that the individual is a fit and proper person. The firm also believes, on the basis of due and diligent enquiry, that the individual is competent to fulfil the duties required.
I confirm that the information in this Form is accurate and complete to the best of my knowledge and belief and that I have read the notes to this Form.

I confirm that I have authority to make this application, and sign this Form, on behalf of the applicant firm(s). I also confirm that a copy of this Form, as submitted to the FCA, will be sent to each of those firms at the same time as submitting the Form to the FCA.

Name of the applicant firm submitting the application

     

Name of person signing on behalf of the applicant firm

     

Job title

     

Signature


Date (dd/mm/yyyy)


     

     

/

     

     

/

     

     

     

     





FCA  PSD Individual Form  Release 7  October 2017 page

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