Schedule 3, Part 3 Powers to make technical standards transferred to the PRA and the FCA (paras. 40-44)
40. To specify -
(a) the information to be provided to the competent authorities by an investment firm applying for authorisation under FSMA, including information in relation to the firm's programme of operations;
(b) the requirements applicable to the management of investment firms under rules 4.2.2R and 4.2.6R of the Senior Management, Systems and Controls sourcebook, or rules 3.1 and 3.2 of the General Organisational Requirements for investment firms in the PRA rulebook, as applicable;
(c) the information required for applications under direction 10A.13.3D of the Supervision Manual in the FCA Handbook or rule 2.2 of the Senior Managers Regime – Applications and Notifications Part of the PRA rulebook;
(d) the requirements applicable to shareholders and members with qualifying holdings, as well as obstacles which may prevent effective exercise of the supervisory function of the competent authority [The powers in paragraph 40 are transferred from Article 7(4) of Directive 2014/65/EU.].
41. To develop standard forms, templates and procedures for the notification or provision of information provided for under paragraph 40 [The powers in paragraph 41 are transferred from Article 7(5) of Directive 2014/65/EU.].