Controllers regime

Controllers regime guidance:

In the UK, certain relationships and close ties that firms may have are considered to have the potential to affect the way in which a firm is run and could affect...

Practice Note

Part XII of the Financial Services and Markets Act 2000 (FSMA 2000) requires controllers and proposed controllers to seek approval from the Financial...

Practice Note

Part XII of the Financial Services and Markets Act 2000 (FSMA 2000) requires controllers and proposed controllers to seek approval from the Financial...

Practice Note

The Financial Services Act 2012 (FSA 2012) set out a new framework for financial regulation in the UK, and transferred the powers of the Financial Services Authority...

Practice Note

Part XII of the Financial Services and Markets Act 2000 (FSMA 2000) requires controllers and proposed controllers to seek approval from the Financial Conduct Authority...

Practice Note

Part XII of the Financial Services and Markets Act 2000 (FSMA 2000) requires controllers and proposed controllers to seek approval from the Financial Conduct Authority...

Practice Note

Background to the implementation of the Acquisitions Directive Prior to the implementation of the Acquisitions Directive (Directive 2007/44/EC) in March 2009, various...

Practice Note

Part XII of the Financial Services and Markets Act 2000 (FSMA 2000) requires controllers and proposed controllers to seek approval from the Financial Conduct Authority...

Practice Note

Part XII of the Financial Services and Markets Act 2000 (FSMA 2000) requires controllers and proposed controllers to seek approval from the Financial Conduct Authority...

Practice Note

Change in control of authorised persons Part XII of the Financial Services and Markets Act 2000 (FSMA 2000) requires individuals or corporate bodies wishing to acquire or...

Practice Note