Notifications and applications

Notifications and applications guidance:

This Practice Note provides an introduction to some of the regulatory responsibilities and contractual requirements that firms authorised by the Financial Conduct...

Practice Note

What is passporting? UK authorised firms may be eligible to carry out permitted activities in another European Economic Area (EEA) state if they fulfil the requirements...

Practice Note

From 1 April 2013, the PRA and the FCA replaced the FSA. From 1 April 2013, in addition to the need to identify which regulator is relevant to the firm's activities and...

Practice Note

Introduction to the authorisation process for electronic money institutions The recast Directive 2007/64/EC, the Electronic Money Directive (2EMD) applied the...

Practice Note

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

Chapter 16 Annex 16A of the Financial Conduct Authority (FCA) Handbook's Supervision Manual (FCA SUP 16, Annex 16A) sets out a list of standing data which the regulators...

Practice Note

Cross-border business Regulated firms will be familiar with the concept of passport, but it may be a new concept for those coming from outside the...

Practice Note

On 7 March 2016 the Senior Managers and Certification Regime (SM&CR) replaced the Approved Persons Regime (APER) in relation to UK banks, building societies, credit...

Practice Note

There are approximately 19,000 Financial Conduct Authority (FCA) regulated firms under the post-FSA regulatory structure, which has been in place since 1 April 2013. FCA...

Practice Note

Where authorised firms cease to carry out regulated activities, their Part 4A permission will be cancelled. The Financial Conduct Authority (FCA) can also use its...

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 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

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 Payment Services Regulations 2017 The Payment Services Regulations 2017, SI 2017/752 (PSRs 2017) transposed the recast PSD2 (Directive 2015/2366/EU)...

Practice Note

On 7 March 2016 the Senior Managers and Certification Regime (SM&CR) replaced the Approved Persons Regime (APR) in relation to UK banks, building societies, credit unions...

Practice Note

Firms who wish to carry one or more PRA-regulated activities as set out in the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001 (SI 2001/544),...

Practice Note

Cancellation refers to the removal of a firm's Part 4A permission. Where Prudential Regulation Authority (PRA)-authorised firms cease to carry out regulated activities,...

Practice Note

Authorised people can only carry out regulated activities in the UK in accordance with their permission. Where people intend to change how they carry out their regulated...

Practice Note

Connect will allow you to submit applications and notifications relating to: • approved persons • application for approval under the Senior Managers Regime • application...

Practice Note

Applications available via Connect Connect is the web-based system for notifications and applications. The Prudential Regulation Authority (PRA) and the...

Practice Note