Authorisation, approval and supervision

Authorisation, approval and supervision guidance:

The following Financial Services practice note provides comprehensive and up to date legal information on A principal's responsibility for its appointed representatives...

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on AIFMD—the marketing of AIFs, passporting and third country...

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on Application to perform a PRA-designated Senior Management...

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on Applications and notifications for approved persons and...

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on Applying for passporting

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on Applying for variations and waivers

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on Appointed representatives

Practice notes

The following Financial Services Q&A provides comprehensive and up to date legal information on As a relevant authorised person (a regulated firm), when do you have to...

Q&As

The following Financial Services practice note provides comprehensive and up to date legal information on Authorisation, registration, variation and cancellation of...

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on Authorised firms and close links

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on Changing standing data

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on Conduct Rules for SM&CR Firms

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on Contract requirements for appointed representatives...

Practice notes

The following Insurance & Reinsurance practice note provides comprehensive and up to date legal information on Control of insurance companies

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on Directory Persons and the Financial Services Register...

Practice notes

Do you have any simplified guidance as to how the Financial Conduct Authority defines a ‘Material Risk Taker’ who could cause significant harm (classified as a Certified...

Q&As

Does an appointed representative have any obligations to the Financial Conduct Authority (FCA) in respect of its principal, if the appointed representative has concerns...

Q&As

The following Financial Services practice note provides comprehensive and up to date legal information on EEA passporting rights under the Mortgage Credit Directive...

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on E-money—passporting, outsourcing and use of distributors and...

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on Enforcement of the FSMA 2000 controllers regime...

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on EU passporting and Treaty rights

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on European System of Financial Supervision

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on Exercise of passporting rights—insurance undertakings in the...

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on Exercising passport rights in the EEA under the Single Market...

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on Exercising passport rights under MiFID and MiFID II...

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on FCA and PRA Fitness and Propriety requirements...

Practice notes
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