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FCA publishes webpage on applying to become a consumer investments firm

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Published on: 09 November 2023
Published by LNB News

LNB News 09/11/2023

Document Information

Issue Date: 09 November 2023

Published Date: 09 November 2023

Jurisdiction(s): England, Northern Ireland, Scotland and Wales

Article summary

The Financial Conduct Authority (FCA) has published a dedicated webpage for consumer investments firms such as financial advisers, investment platforms and SIPP operators, applying for authorisation by the FCA. It includes information and guidance on senior management functions (SMFs), phoenixing, and the use of compliance consultants.

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Jurisdiction(s):
England, Northern Ireland, Scotland and Wales

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