Notifications and applications

Notifications and applications 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 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 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 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 Financial Conduct Authority—authorisation

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on Financial Conduct Authority—cancelling permission and...

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on FSMA 2000 controllers regime—fund managers

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on FSMA 2000 controllers regime—key concepts

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on FSMA 2000 controllers regime—obligations for firms...

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on Obligations of controllers—acquiring and increasing control...

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on Obligations of controllers—reducing or ceasing control...

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on Payment Services Regulations 2017—authorisation and passporting...

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on Prudential Regulation Authority—authorisation...

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on Prudential Regulation Authority—cancelling permission and...

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on Prudential Regulation Authority—varying permission...

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on The Connect system

Practice notes

The following Financial Services Q&A provides comprehensive and up to date legal information on What are the notification requirements for a change in control of a firm?...

Q&As

The following Financial Services Q&A provides comprehensive and up to date legal information on When and how should a UK firm apply for authorisation or a variation of...

Q&As
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