The following Financial Services practice note provides comprehensive and up to date legal information on A principal's responsibility for its appointed representatives...
The following Financial Services practice note provides comprehensive and up to date legal information on AIFMD—the marketing of AIFs, passporting and third country...
The following Financial Services practice note provides comprehensive and up to date legal information on Application to perform a PRA-designated Senior Management...
The following Financial Services practice note provides comprehensive and up to date legal information on Applications and notifications for approved persons and...
The following Financial Services practice note provides comprehensive and up to date legal information on Applying for passporting
The following Financial Services practice note provides comprehensive and up to date legal information on Applying for variations and waivers
The following Financial Services practice note provides comprehensive and up to date legal information on Appointed representatives
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...
The following Financial Services practice note provides comprehensive and up to date legal information on Authorisation, registration, variation and cancellation of...
The following Financial Services practice note provides comprehensive and up to date legal information on Authorised firms and close links
The following Financial Services practice note provides comprehensive and up to date legal information on Changing standing data
The following Financial Services practice note provides comprehensive and up to date legal information on Conduct Rules for SM&CR Firms
The following Financial Services practice note provides comprehensive and up to date legal information on Contract requirements for appointed representatives...
The following Insurance & Reinsurance practice note provides comprehensive and up to date legal information on Control of insurance companies
The following Financial Services practice note provides comprehensive and up to date legal information on Directory Persons and the Financial Services Register...
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...
Does an appointed representative have any obligations to the Financial Conduct Authority (FCA) in respect of its principal, if the appointed representative has concerns...
The following Financial Services practice note provides comprehensive and up to date legal information on EEA passporting rights under the Mortgage Credit Directive...
The following Financial Services practice note provides comprehensive and up to date legal information on E-money—passporting, outsourcing and use of distributors and...
The following Financial Services practice note provides comprehensive and up to date legal information on Enforcement of the FSMA 2000 controllers regime...
The following Financial Services practice note provides comprehensive and up to date legal information on EU passporting and Treaty rights
The following Financial Services practice note provides comprehensive and up to date legal information on European System of Financial Supervision
The following Financial Services practice note provides comprehensive and up to date legal information on Exercise of passporting rights—insurance undertakings in the...
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...
The following Financial Services practice note provides comprehensive and up to date legal information on Exercising passport rights under MiFID and MiFID II...
The following Financial Services practice note provides comprehensive and up to date legal information on FCA and PRA Fitness and Propriety requirements...
